|What is a broker-dealer?|
A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. If a broker-dealer firm is trading securities on behalf of a customer account, it is acting as an agent or a broker whereas if the broker-deal firm is trading securities on behalf of its own account, it is acting as a principal or a dealer.
Most brokers and dealers must register with the SEC unless they transact all of their business within one state, in which case they are required to have a state registration. Those broker-dealers that advice or offer fee-based accounts generally must also register as an investment advisor. Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations. To view the latest filing for a particular registered investment advisor, please visit: www.adviserinfo.sec.gov
Find a Registered Broker-Dealer
Search the www.brokerdealerfirms.com directory using either:
Download Broker-Dealer Firms
- Search broker-dealers alphabetically
- Search broker-dealers by state
- Search broker-dealers by assets under management
To order a download-to-Excel file of broker-dealer firms, visit http://www.brokerdealerfirms.com/download.php
Other Relevant Information
Search SEC-registered hedge funds: https://www.privateequityinfo.com/hedge-funds.php
Search Registered Investment Advisors (RIAs): http://www.investmentadvisorsearch.com/index.php
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