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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Bolton Global Asset Management Bolton MA US 1167.2 
Cantella & Co., Inc. Boston MA US 940.4 
Carl P. Sherr & Co., LLC Worcester MA US 166.0 
Citizens Securities, Inc. Dedham MA US 2379.1 
Clary Financial, Inc. So. Easton MA US 36.8 
Commonwealth Financial Network Waltham MA US 52072.8 
Compass Capital Corporation Braintree MA US 170.0 
Davinci Capital Management Inc. Cambridge MA US 18.1 
Garrett Nagle & Co., Inc. Woburn MA US 106.0 
Investors Capital Advisory Lynnfield MA US 1571.3 
Lpl Financial LLC Boston MA US 112086.4 
Mml Investors Service, LLC Springfield MA US 666.1 
Moors & Cabot, Inc Boston MA US 1011.1 
Msi Financial Service, Inc. Springfield MA US 13803.7 
National Financial Service, LLC Boston MA US 0.0 
Pursuit Capital Marketing, LLC Medfield MA US 0.0 
Santander Securities Dorchester MA US 556.1 
Shields & Company, Inc. Waltham MA US 0.0 
Signator Financial Service, Inc. Boston MA US 409.4 
Signator Investors, Inc. Boston MA US 2195.7 
St. Germain Investment Management Springfield MA US 1106.0 
Trust Advisory Group Limited Woburn MA US 126.2 
Verum, LLC Waltham MA US 0.0 
Winslow, Evans & Crocker, Inc. Boston MA US 596.6 
           
 
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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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



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