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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Abner Herrman & Brock, LLC Jersey City NJ US 1457.1 
Aca/prudent Investors Planning Corporation Green Brook NJ US 139.1 
Bcg Securities, Inc. Cherry Hill NJ US 289.2 
Care Capital, LLC Princeton NJ US 0.0 
Fcg Wealth Management, LLC Chatham NJ US 633.7 
Financial Northeastern Securities, Inc. Fairfield NJ US 0.0 
Financial Planning Group Inc. the Scotch Plains NJ US 2.5 
George Mckelvey Co., Inc. Manasquan NJ US 571.0 
Glen Eagle Advisors, LLC Princeton NJ US 128.1 
Hennion & Walsh Asset Management, Inc. Parsippany NJ US 172.5 
Mercadien Asset Management, LLC Hamilton NJ US 166.0 
Millington Securities, Inc. Red Bank NJ US 1487.1 
Npa Asset Management, LLC Paramus NJ US 303.8 
Pine Valley Investments Marlton NJ US 150.0 
Prudential Financial Planning Service Newark NJ US 4930.5 
Pts Brokerage, LLC Mt. Laurel NJ US 24.2 
R. Seelaus & Co., Inc. Summit NJ US 35.6 
Reaves Asset Management Jersey City NJ US 2923.4 
Repex Investment Management Co., Inc. Closter NJ US 34.0 
Straus Capital, LLC Princeton Junction NJ US 0.0 
Summit Equities Inc Parsippany NJ US 2418.5 
Tfs Advisory Service Lincroft NJ US 655.8 
The Gms Group, LLC Livingston NJ US 0.0 
Ubs Financial Service Inc. Weehawken NJ US 358253.4 
Vaughan And Company Securities, Inc. Ridgewood NJ US 72.2 
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:

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