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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
M Holdings Securities, Inc. Portland OR US 958.2 
M&t Securities, Inc. Buffalo NY US 0.0 
M. E. Allison & Co., Inc. San Antonio TX US 9.7 
M. Griffith Investment Service, Inc. New Hartford NY US 1262.0 
Mack Investment Securities, Inc. Northfield IL US 125.2 
Mackenzie Investments Toronto, Ontario CA 45132.4 
Macquarie Fund Advisers Pty Limited Sydney Nsw AU 0.0 
Macquarie Infrastructure And Real Assets europe Limited London UK 0.0 
Madison Avenue Securities, LLC San Diego CA US 485.0 
Maine Securities Corporation Portland, ME US 0.5 
Manitou Capital Management, Inc. Frankfort MI US 14.0 
Marsden Capital Management, LLC. Erie PA US 49.5 
Martin Nelson & Co., Inc. Seattle WA US 35.0 
Marwood Group New York NY US 0.0 
Marwood Group Research LLC New York NY US 0.0 
Mb & Associates 1.2 
Mbsc Securities Corporation New York NY US 1354.2 
Mcclurg Capital Corporation San Rafael CA US 213.0 
Mcdonald Partners LLC Cleveland OH US 918.2 
Mclaughlin Ryder Investments, Inc. Alexandria VA US 164.1 
Mcnally Financial Service Corporation San Antonio TX US 7.5 
Means Wealth Management Bangor ME US 213.5 
Mentor Securities, LLC Westlake Village CA US 0.0 
Mercadien Asset Management, LLC Hamilton NJ US 166.0 
Mercantil Commercebank Investement Service, Inc. Coral Gables FL US 445.1 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY US 639574.2 
Merriman Wealth Advisors San Francisco CA US 0.0 
Mha Financial Corporation 23.0 
Mid-atlantic Securities, Inc. Raleigh NC US 83.3 
Midkiff & Stone Capital Group, Inc. 7.3 
Midwest Investment Advisors, LLC Fenton MO US 19.1 
Midwestern Securities Trading Co.,LLC East Peoria IL US 324.0 
Milestone Investments, Inc. Charlotte NC US 46.0 
Millington Financial Advisors, LLC Naperville IL US 25.3 
Millington Securities, Inc. Red Bank NJ US 1487.1 
Ministry Partners Securities, LLC Brea CA US 10.4 
Mirae Asset Securities usa Inc. New York NY US 0.0 
Mirae Asset Wealth Management usa Inc. Los Angeles CA US 49.1 
Mkg Financial Group, Inc. Portland OR US 23.2 
Mma Securities LLC New York NY US 0.0 
Mmc Securities LLC New York NY US 0.0 
Mml Investors Service, LLC Springfield MA US 666.1 
Moloney Securities Asset Management LLC Manchester MO US 407.3 
Monarch Capital Group, LLC New York NY US 0.0 
Money Concepts Advisory Service Palm Beach Gardens FL US 1181.5 
Money Management Advisory Inc. Feasterville PA US 15.3 
Moneyblock Chicago IL US 7.7 
Monongahela Capital Management Harmony PA US 331.9 
Moors & Cabot, Inc Boston MA US 1011.1 
Morgan Stanley Purchase NY US 535890.1 
Morningstar Investment Service LLC Chicago IL US 6812.5 
Mortgage INDS Advisory Company New York NY US 12400.0 
Msh Capital Advisors LLC Scottsdale AZ US 0.0 
Multiple Financial Service, Inc. Irvine CA US 3.5 
Mutual Capital Partners Funds Westlake OH US 0.0 
Mutual Of America Life Insurance Company New York NY US 826.1 
Mutual Of Omaha Investor Service, Inc. Omaha NE US 0.0 
Mutual Trust Asset Management., Inc. Clearwater FL US 86.8 
Mwa Financial Service, Inc. Rock Island IL US 11.4 
           
 
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.

Broker-Dealer Registration
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

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