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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
N M Rothschild & Sons Limited London UK 0.0 
National Financial Service, LLC Boston MA US 0.0 
National Pension & Group Consultants, Inc. Kansas City MO US 30.8 
National Planning Corporation npc Of America In Fl & Ny El Segundo CA US 7810.8 
Nations Financial Group, Inc. Cedar Rapids IA US 597.3 
Nationwide Securities, LLC Grandview Heights OH US 0.0 
Natixis Securities Americas LLC New York NY US 57.5 
Navy Federal Brokerage Service LLC Vienna VA US 184.3 
Nbc Securities, Inc. Birmingham AL US 992.0 
Needham & Company, LLC New York NY US 0.0 
Nestlerode & Loy, Inc. State College PA US 89.6 
Netherland Securities, Inc. Dallas TX US 10.0 
Neuberger Berman Bd LLC New York NY US 0.0 
Neuberger Berman Management LLC New York NY US 53540.1 
New Horizons Asset Management Group, LLC Newburgh NY US 8.0 
Newport Coast Asset Management New York NY US 79.0 
Newport Group Securities, Inc. Heathrow FL US 24600.0 
Next Financial Group, Inc. Houston TX US 1564.2 
Nfp Advisor Service, LLC Austin TX US 12254.0 
Ngc Financial, LLC Bayside NY US 0.1 
Ni Advisors Oakland CA US 0.0 
Nikko Asset Management Co Limited Tokyo 120572.7 
Nomura Securities International, Inc. New York NY US 0.0 
North Nassau Advisors, LLC Syosset NY US 15.0 
North Ridge Securities Corporation. Melville NY US 174.4 
Northeast Asset Management, Inc. Mitchel Field NY US 346.8 
Northern Trust Securities, Inc Chicago IL US 100.0 
Northland Asset Management Minneapolis MN US 102.7 
Northwest Investment Advisors, Inc Spokane WA US 4.7 
Northwestern Mutual Investment Service,LLC Milwaukee WI US 0.0 
Npa Asset Management, LLC Paramus NJ US 303.8 
Npb Financial Group, LLC Burbank CA US 450.0 
Ntb Advisers, A Division Of Neidiger, Tucker, Bruner Inc Englewood CO US 229.9 
           
 
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

Find a Registered Broker-Dealer
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Other Relevant Information
Search SEC-registered hedge funds: http://www.privateequityinfo.com/hedge-funds.php Search Registered Investment Advisors (RIAs): http://www.investmentadvisorsearch.com/index.php



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