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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
S C Parker & Co Investment Advisor Service Williamsville NY US 10.0 
Safeguard Securities, Inc. Mayfield Heights OH US 185.9 
Sage, Rutty & Co., Inc. Rochester NY US 714.4 
Sagepoint Financial, Inc. Phoenix AZ US 4384.5 
Sanders Morris Harris LLC Houston TX US 300.9 
Sanford C. Bernstein & Co., LLC New York NY US 7232.9 
Santander Investment Securities Inc. New York NY US 877.9 
Santander Securities Dorchester MA US 556.1 
Saperston Asset Management, Inc. Hamburg NY US 154.2 
Sawtooth Asset Management, Inc. Minneapolis MN US 216.2 
Scottsdale Capital Advisors Corporation Scottsdale AZ US 0.0 
Searle & Co. Greenwich CT US 275.6 
Secure Planning, Inc. Portsmouth NH US 118.9 
Securian Financial Service, Inc. St Paul MN US 6627.2 
Securities Research, Inc Vero Beach FL US 35.2 
Shamrock Israel Growth Fund Advisors Limited. Tel-aviv IL 0.0 
Shapaur Investments & Trust 0.0 
Sherwold G W Associates Inc Lake Forest CA US 87.5 
Shields & Company, Inc. Waltham MA US 0.0 
Signal Securities, Inc. Fort Worth TX US 263.3 
Signator Financial Service, Inc. Boston MA US 409.4 
Signator Investors, Inc. Boston MA US 2195.7 
Signature Securities Group Corporation. New York NY US 355.7 
Sii Investments, Inc. Appleton WI US 4225.9 
Silber Bennett Financial, Inc. Encino CA US 32.2 
Silicon Valley Securities, Inc. San Jose CA US 23.6 
Silver Oak Securities, Inc. Jackson TN US 214.8 
Simmons And Company International Limited Aberdeen UK 0.0 
Simmons First Investment Group, Inc. Little Rock AR US 103.9 
Sizemore Capital Management, LLC Dallas TX US 37.1 
Smith Moore & Co. Clayton MO US 611.8 
Smith, Brown & Groover, Inc. Macon GA US 135.0 
Sorrento Pacific Financial, LLC San Diego CA US 67.3 
Sorsby Financial Corporation Chicago IL US 23.0 
Sound Financial Management, Inc. Raleigh NC US 46.7 
Source Capital Group, Inc. Westport CT US 106.0 
Sovereign Legacy, Inc. 26.7 
Sparx Asset Management Co., Limited. Tokyo 5610.7 
Spectrum Asset Management, Inc. Stamford CT US 19379.0 
St. Bernard Financial Service, Inc. Russellville AR US 69.0 
St. Germain Investment Management Springfield MA US 1106.0 
St. Onge, Paul Philip East Greenwich RI US 135.0 
Standard Investment Advisors Costa Mesa CA US 6.6 
Stanford Group Company Houston TX US 3051.5 
Stark Financial Advisers, Inc. Delray Beach FL US 25.4 
Steben & Company, Inc. Gaithersburg MD US 459.9 
Stephen A. Kohn & Associates, Limited. Lakewood CO US 6.5 
Stephens Little Rock AR US 7019.8 
Sterne Agee Investment Advisor Service, Inc. Youngstown OH US 462.3 
Stifel, Nicolaus & Company, Inc St Louis MO US 38401.4 
Stock Traders Huntington Beach CA US 12.5 
Stockcross Financial Service Beverly Hills CA US 50.7 
Stonnington Group, LLC Woodland Hills CA US 201.3 
Strategic Property Advisers Inc Jamul CA US 3409.6 
Strategic Stock Investments Inc 0.0 
Straus Capital, LLC Princeton Junction NJ US 0.0 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Summit Equities Inc Parsippany NJ US 2418.5 
Sunbelt Securities Houston TX US 200.8 
Sunset Financial Service, Inc. Kansas City MO US 0.0 
Sunstreet Securities, LLC Avondale AZ US 6.7 
Suntrust Investment Service, Inc. Atlanta GA US 10443.2 
Sycamore Financial Group Kokomo IN US 367.5 
Syndicated Capital, Inc. Santa Monica CA US 53.5 
Synovus Securities, Inc. Columbus GA US 1710.4 
           
 
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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