broker dealer firms Powered By Private Equity Info 
Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
 
download Private Equity Firms
Sorted by industry and
acquisition criteria.
View Demo
 
Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Access Financial Group, Inc. Chicago IL US 327.3 
Aon Securities Inc. Chicago IL US 0.0 
Arete Wealth Advisors, LLC Chicago IL USA 808.3 
B. C. Ziegler And Company Chicago IL US 412.3 
Blue Vista Capital, LLC Chicago IL US 1640.6 
Bmo Harris Financial Advisors, Inc Chicago IL US 11800.9 
Correll Co. Investment Service Corporation. Hickory Hills IL US 165.1 
Feldman, Ingardona & Co Downers Grove IL US 1928.2 
Gbs Retirement Service, Inc. Itasca IL US 0.0 
Geneva Advisors, LLC Chicago IL US 7825.3 
Guggenheim Funds Distributors, LLC Chicago IL US 5612.0 
Hightower Financial Solutions LLC Chicago IL US 0.0 
Horace Mann Investors, Inc. Springfield IL US 0.0 
Insight Securities, Inc. Highland Park IL US 151.5 
James T. Borello & Co. East Dundee IL US 0.0 
Loop Capital Markets LLC Chicago IL US 0.0 
Mack Investment Securities, Inc. Northfield IL US 125.2 
Midwestern Securities Trading Co.,LLC East Peoria IL US 324.0 
Millington Financial Advisors, LLC Naperville IL US 25.3 
Moneyblock Chicago IL US 7.7 
Morningstar Investment Service LLC Chicago IL USA 8489.5 
Mwa Financial Service, Inc. Rock Island IL USA 11.4 
North South Capital, LLC Chicago IL US 18.3 
Northern Trust Securities, Inc Chicago IL US 100.0 
Paulson Investment Company, LLC Chicago IL USA 15.4 
Paulson Investment Company, LLC Chicago IL USA 15.4 
Performance Trust Capital Partners, LLC Chicago IL US 212.1 
Plexus Financial Service, LLC Deer Park IL US 0.0 
Podesta & Co. Chicago IL US 16.2 
Pwmco, LLC Chicago IL US 586.1 
Romano Wealth Management Evanston IL US 757.7 
Rothschild Investment Corporation Chicago IL US 1198.5 
Sorsby Financial Corporation Chicago IL US 23.0 
Uhlmann Investment Management, LLC Chicago IL US 43.0 
Wayne Hummer Investments LLC. Chicago IL US 4974.8 
William Blair & Company LLC. Chicago IL US 16328.5 
World Equity Group, Inc. Arlington Heights IL US 491.2 
           
 
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

Find a Registered Broker-Dealer
Search the www.brokerdealerfirms.com directory using either:
  • Search broker-dealers alphabetically
  • Search broker-dealers by state
  • Search broker-dealers by assets under management
Download Broker-Dealer Firms
To order a download-to-Excel file of broker-dealer firms, visit http://www.brokerdealerfirms.com/download.php

Other Relevant Information
Search SEC-registered hedge funds: http://www.privateequityinfo.com/hedge-funds.php Search Registered Investment Advisors (RIAs): http://www.investmentadvisorsearch.com/index.php



DISCLAIMER
This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.

No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.




Home | Download Data | Links | Contact Us

©2011- PEI Services Ltd. All Rights Reserved. Terms and Conditions