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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Abd Retirement Service, Inc. San Francisco CA US 0.0 
Alliance Advisory & Securities, Inc Westlake Village CA US 208.2 
Allovest Advisory Service, LLC Huntington Beach CA US 0.0 
American Funds Distributors, Inc. Los Angeles CA US 0.0 
American Investors Co San Ramon CA US 340.6 
APS Associates Jackson CA US 75.0 
B. Riley & Co., LLC Los Angeles CA US 9.4 
B.b. Graham & Company, Inc. Orange CA US 25.7 
Blakeslee And Blakeslee Inc. San Luis Obispo CA US 0.0 
Blaylock Beal Van, LLC Oakland CA US 1.0 
Bridgecorp Investment Management Irvine CA US 5.3 
Caldwell Securities, Inc Sausalito CA US 165.0 
California Capital Management North Hollywood CA US 163.3 
Centaurus Financial, Inc. Anaheim CA US 1043.6 
Cetera Advisor Networks LLC El Segundo CA US 16790.8 
Charles Schwab & Co., Inc. San Francisco CA US 0.0 
City National Securities, Inc. Beverly Hills CA US 734.3 
Collins/bay Island Securities, LLC Newport Beach CA US 0.0 
Courtlandt Wealth Management Irvine CA US 5.0 
Crescent Capital Group LP Los Angeles CA US 17906.8 
Crown Capital Securities, L.P. Orange CA US 562.2 
Cuso Financial Service, L.P. San Diego CA US 1811.6 
Dunham & Associates Investment Counsel, Inc. San Diego CA US 1173.7 
E-w Investment Counsel, A Division Of E-w Investments, Inc. San Gabriel CA US 0.5 
Emerson Equity LLC San Mateo CA US 60.0 
Equinox Securities, Inc. Redlands CA US 19.1 
Essex National Securities, LLC Napa CA US 65.5 
Fairbridge Capital Partners Newport Beach CA US 0.0 
Farmers Financial Solutions, LLC Agoura Hills CA US 0.0 
Financial Telesis, Inc. San Rafael CA US 324.2 
Financial West Group Westlake Village CA US 654.0 
First Allied Securities, Inc. San Diego CA US 0.0 
First Republic Securities Company, LLC San Francisco CA US 0.0 
First Wilshire Securities Management, Inc. Pasadena CA US 754.5 
Foothill Securities, Inc. Santa Clara CA US 1157.8 
Foresters Equity Service, Inc. San Diego CA US 13.1 
Girard Securities, Inc. San Diego CA US 646.4 
Gold Coast Securities, Inc. Thousand Oaks CA US 36.8 
Grail Partners San Francisco CA US 0.0 
Green Street Advisors, LLC Newport Beach CA US 0.0 
Hanson Mcclain Securities Sacramento CA US 0.0 
Hermes Econometrics San Rafael CA US 31.0 
Higgins Capital Management, Inc. La Jolla CA US 1.0 
Hollencrest Capital Management Newport Beach CA US 1165.2 
Independent Financial Group, LLC San Diego CA US 1855.9 
Infinity Financial Service Oakland CA US 37.0 
J K R & Company, Inc. Laguna Beach CA US 129.2 
J.derek Lewis & Associates, Inc. Newport Beach CA US 559.2 
Jcp Securities, Inc. Irvine CA US 0.0 
Keystone Capital Corporation San Diego CA US 12.5 
Liberty Wealth Management, LLC Oakland CA US 683.1 
Madison Avenue Securities, LLC San Diego CA US 485.0 
Mcclurg Capital Corporation San Rafael CA US 213.0 
Merriman Wealth Advisors San Francisco CA US 0.0 
Montecito Advisors, Inc. Santa Barbara CA US 0.0 
Multiple Financial Service, Inc. Irvine CA US 3.5 
National Planning Corporation npc Of America In Fl & Ny El Segundo CA US 7810.8 
Ni Advisors Oakland CA US 0.0 
Npb Financial Group, LLC Burbank CA US 450.0 
Oak Tree Securities, Inc. Livermore CA US 4.6 
Optivest, Inc. Dana Point CA US 196.8 
Pacific Commonwealth Corporation Tiburon CA US 0.0 
Pacific Family Offices, LLC Santa Barbara CA US 0.0 
Painter, Smith And Amberg Inc. Redlands CA US 80.4 
Pflueger & Baerwald Inc. San Francisco CA US 32.2 
Plan B Investments, Inc. Burbank CA US 0.0 
Planmember Securities Corporation Carpinteria CA US 2637.6 
Portsmouth Financial Service San Francisco CA US 19.9 
Private Portfolio Of San Diego La Jolla CA US 52.1 
Protected Investors Of America San Francisco CA US 607.9 
Puplava Financial Service Inc San Diego CA US 312.0 
Qca Capital Management Inc Los Angeles CA US 62.0 
Quest Capital Strategies, Inc. Lake Forest CA US 33.0 
Quest Securities, Inc. Fair Oaks CA US 51.0 
Relevant Wealth Advisors, LLC Mill Valley CA US 580.0 
Rice Pontes Capital, Inc. San Ramon CA US 83.2 
Rjj Pasadena Securities, Inc. South Pasadena CA US 61.1 
Roth Capital Partners, LLC Newport Beach CA US 11.9 
Sherwold G W Associates Inc Lake Forest CA US 87.5 
Silber Bennett Financial, Inc. Encino CA US 32.2 
Silicon Valley Securities, Inc. San Jose CA US 23.6 
Sorrento Pacific Financial, LLC San Diego CA US 67.3 
Standard Investment Advisors Costa Mesa CA US 6.6 
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 
Syndicated Capital, Inc. Santa Monica CA US 53.5 
The Kelt Group, LLC Santa Barbara CA US 4.1 
The Putney Financial Group, Registered Investment Advisors San Rafael CA US 147.5 
Unionbanc Investment Service, LLC Glendale CA US 773.3 
Waveland Capital Partners LLC Irvine CA US 0.0 
Wbb Securities, LLC San Diego CA US 10.0 
Wedbush Securities Inc. Los Angeles CA US 1466.8 
Wescom Financial Service, LLC Pasadena CA US 73.1 
Western Growers Financial Service Irvine CA US 90.4 
Western International Securities Pasadena CA US 900.0 
Westpark Capital, Inc. Los Angeles CA US 8.5 
Whitehall-parker Securities, Inc San Francisco CA US 14.0 
Wulff, Hansen & Co. San Francisco CA US 84.2 
           
 
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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