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Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
 
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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Advanced Strategies Inc. Huron OH US 14.7 
Baker & Co., Inc Rocky River OH US 18.3 
Capital City Asset Management Group, LLC Columbus OH US 35.8 
Cbiz Retirement Plan Advisory Service Cleveland OH US 11331.9 
Fifth Third Securities, Inc. Cincinnati OH US 887.8 
Great American Advisors, Inc. Cincinnati OH US 36.1 
Horan Wealth Management Cincinnati OH US 155.9 
Independence Capital Co., Inc. Parma OH US 36.8 
Investment Network, Inc. Canton OH US 0.0 
Keidan Financial Consultants LLC Columbus OH US 261.6 
Key Investment Service LLC Brooklyn OH US 1259.5 
L.m. Kohn & Company Cincinnati OH US 802.6 
Lincoln Douglas Investments, LLC Mount Vernon OH US 8.2 
Mcdonald Partners LLC Cleveland OH US 918.2 
Mutual Capital Partners Funds Westlake OH US 0.0 
Nationwide Securities, LLC Grandview Heights OH US 0.0 
Oda And Company, Inc. Medina OH US 0.0 
Ross, Sinclaire & Associates, LLC Cincinnati OH US 465.6 
Safeguard Securities, Inc. Mayfield Heights OH US 185.9 
The Huntington Investment Company Columbus OH US 888.1 
The J. Arnold Wealth Management Co., LLC Canfield OH US 45.0 
Wesbanco Securities, Inc. St Clairsville OH US 25.8 
Westminster Financial Advisory Corporation Dayton OH US 294.4 
           
 
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
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Other Relevant Information
Search SEC-registered hedge funds: https://www.privateequityinfo.com/hedge-funds.php Search Registered Investment Advisors (RIAs): http://www.investmentadvisorsearch.com/index.php



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