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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 81.7 
Pacer Advisors, Inc. Paoli PA US 620.1 
Pacific Commonwealth Corporation Tiburon CA US 0.0 
Pacific Family Offices, LLC Santa Barbara CA US 0.0 
Packerland Brokerage Service, Inc. Green Bay WI US 155.3 
Painter, Smith And Amberg Inc. Redlands CA US 80.4 
Palm Equity, LLC West Palm Beach FL US 288.0 
Palmetto Advisory 0.0 
Pareto Project Finance Oslo NO 0.0 
Park Avenue Securities LLC New York NY US 6646.1 
Partners Capital Management, Inc. Spokane WA US 20.5 
Paulson Investment Company, LLC Chicago IL US 11.5 
Peachtree Capital Corporation Inc. Atlanta GA US 37.2 
Pen Facs Financial Service 24.2 
Penn Investment Advisors, Inc. Doylestown PA US 542.2 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
Peoples Securities, Inc. Bridgeport CT US 2729.3 
Performance Trust Capital Partners, LLC Chicago IL US 212.1 
Petroff Institutional 0.0 
Pflueger & Baerwald Inc. San Francisco CA US 32.2 
Pgim Limited London UK 27241.0 
Phillips & Company Portland OR US 753.8 
Pine Valley Investments Marlton NJ US 150.0 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
Pinnacle Advisors LLC Syracuse NY US 1.7 
Pinnacle Equity Management Inc St Louis MO US 0.0 
Pinnacle Investments, LLC Syracuse NY US 331.3 
Piper Jaffray & Co. Minneapolis MN US 393.8 
Plan B Investments, Inc. Burbank CA US 0.0 
Planmember Securities Corporation Carpinteria CA US 2637.6 
Planned Investment Co., Inc. Indianapolis IN US 44.9 
Planners Financial Service, Inc. Mendota Heights MN US 92.8 
Plexus Financial Service, LLC Deer Park IL US 0.0 
Pnc Investments Pittsburgh PA US 11195.1 
Podesta & Co. Chicago IL US 16.2 
Polar Asset Management Partners Inc. Toronto CA 0.0 
Polar Investment Counsel, Inc. 91.6 
Popular Securities, LLC Hato Rey PR US 824.4 
Portfolio Design Advisors, Inc. Centennial CO US 56.1 
Portia Advisors, LLC Albany NY US 0.0 
Portsmouth Financial Service San Francisco CA US 19.9 
Potomac Investment Company 43.2 
Presidential Brokerage, Inc. Greenwood Village CO US 64.7 
Primerica Advisors Duluth GA US 0.0 
Primesolutions Securities, Inc. Cleveland OH US 31.2 
Principal Securities, Inc. Des Moines IA US 1622.4 
Principled Advisors, Inc. Staten Island NY US 0.0 
Private Client Service, LLC Louisville KY US 163.1 
Private Label Money Management, Inc. Kirkwood MO US 13.6 
Private Portfolio Of San Diego La Jolla CA US 52.1 
Professional Broker-dealer Financial Planning, Inc. 0.7 
Prospera Financial Service, Inc. Dallas TX US 1382.8 
Protected Investors Of America San Francisco CA US 607.9 
Prudential Financial Planning Service Newark NJ US 4930.5 
Pts Brokerage, LLC Mt. Laurel NJ US 24.2 
Puplava Financial Service Inc San Diego CA US 312.0 
Pursuit Capital Marketing, LLC Medfield MA US 0.0 
Putnam Investments Limited London UK 6335.9 
Pwmco, LLC Chicago IL US 586.1 
           
 
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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