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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
U.s. Bancorp Investments, Inc. Saint Paul MN US 5065.1 
Ubs Financial Service Inc. Weehawken NJ US 358253.4 
Ubs Swiss Financial Advisers Zurich CZ 4896.0 
Uhlmann Investment Management, LLC Chicago IL US 75.0 
Umb Financial Service, Inc. Kansas City MO US 10.8 
Umpqua Investments, Inc. Portland OR US 542.5 
Union Capital Company Tucson AZ US 38.0 
Unionbanc Investment Service, LLC Glendale CA US 773.3 
United Brokerage Service Inc Parkersburg WV US 114.5 
United Brokers S.a. agente De Valores Montevideo UY 23.6 
United Maritime Capital LLC New York NY US 25.0 
United Planners Financial Service Of America A Limited Partner Scottsdale AZ US 1805.6 
Univest Investments, Inc. Souderton PA US 15.1 
Usa Financial Securities Corporation Ada MI US 172.6 
Usaa Investment Management Company San Antonio TX US 23290.7 
Usi Securities, Inc. Glastonbury CT US 0.0 
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:

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