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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Waddell & Reed Overland Park KS US 18308.9 
Wall Street Financial Group, Inc Victor NY US 448.3 
Wallis Advisors, LLC Albany NY US 0.0 
Waterford Capital Investment Advisory Service LLC Addison TX US 105.0 
Waveland Capital Partners LLC Irvine CA US 0.0 
Wayne Hummer Investments LLC. Chicago IL US 4974.8 
Wbb Securities, LLC San Diego CA US 10.0 
Wealth Asset Managers Spokane WA US 93.4 
Wealth Management Resources, Inc. N. Smithfield RI US 139.4 
Wealth Quarterback, LLC 0.0 
Wedbush Securities Inc. Los Angeles CA US 1466.8 
Weeden & Co.L.P. Greenwich CT US 0.0 
Welhouse & Associates,Inc. Appleton WI US 4.8 
Wellington Shields & Co., LLC New York NY US 218.7 
Wells Fargo Advisors Financial Network, LLC St. Louis MO US 38415.1 
Wells Fargo Clearing Service, LLC St. Louis MO US 372112.7 
Wells Nelson & Associates, LLC. Oklahoma OK US 0.0 
Wesbanco Securities, Inc. St Clairsville OH US 25.8 
Wescom Financial Service, LLC Pasadena CA US 73.1 
West Face Capital Inc. Toronto CA 0.0 
Western Equity Group, Inc. Pleasant View TN US 0.0 
Western Growers Financial Service Irvine CA US 90.4 
Western International Securities Pasadena CA US 900.0 
Westminster Financial Advisory Corporation Dayton OH US 170.8 
Westpark Capital, Inc. Los Angeles CA US 8.5 
Westport Capital Markets, LLC Westport CT US 157.7 
White, Weld & Co. Wealth Management Chicago IL US 0.0 
Whitehall-parker Securities, Inc San Francisco CA US 14.0 
Wiley Bros.-aintree Capital, LLC Nashville TN US 123.5 
William Blair & Company LLC. Chicago IL US 16328.5 
Willis Securities, Inc. New York NY US 0.0 
Wilmington Capital Securities, LLC Garden City NY US 47.1 
Windham Capital Group, Inc. 0.0 
Windham Financial Service, Inc. 18.9 
Winslow, Evans & Crocker, Inc. Boston MA US 615.2 
Woodbury Financial Service, Inc. Oakdale MN US 2696.8 
Woodstock Financial Group, Inc. Woodstock GA US 199.6 
World Choice Securities, Inc. Bedford TX US 9.0 
World Equity Group, Inc. Arlington Heights IL US 491.2 
World Trend Financial Planning Service, Limited. Cedar Rapids IA US 393.6 
Worth Financial Group Inc. Dallas TX US 12.1 
Wulff, Hansen & Co. San Francisco CA US 84.2 
Wunderlich Securities, Inc. Memphis TN US 1561.9 
Wyoming Investment Management Service, LLC Cheyenne WY US 5.5 
Wyser Pratte Management Co Inc 63.4 
           
 
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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