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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Alexander Labrunerie & Co., Inc. Columbia MO US 118.8 
Benjamin F. Edwards & Company, Inc St. Louis MO US 4221.5 
Century Securities Associates Inc St Louis MO US 392.7 
Commerce Brokerage Service, Inc Clayton MO US 346.4 
Country Club Financial Service, Inc. Kansas City MO US 41.2 
Cutter & Company, Inc. Ballwin MO US 562.6 
Edward Jones St. Louis MO US 140424.1 
Midwest Investment Advisors, LLC Fenton MO US 19.1 
Moloney Investment Advisory LLC Manchester MO US 0.0 
Moloney Securities Asset Management LLC Manchester MO US 407.3 
Moloney Securities Co., Inc. Manchester MO US 257.6 
National Pension & Group Consultants, Inc. Kansas City MO US 30.8 
Pinnacle Equity Management Inc St Louis MO US 0.0 
Private Label Money Management, Inc. Kirkwood MO US 13.6 
Smith Moore & Co. Clayton MO US 611.8 
Stifel, Nicolaus & Company, Inc St Louis MO US 38401.4 
Sunset Financial Service, Inc. Kansas City MO US 0.0 
The Garbacz Group Inc. St. Louis MO US 12.4 
Umb Financial Service, Inc. Kansas City MO US 10.8 
Wells Fargo Advisors Financial Network, LLC St. Louis MO US 38415.1 
Wells Fargo Clearing Service, LLC St. Louis MO US 372112.7 
           
 
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
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