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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Abraham & Co., Inc. 3.0 
Advanced Strategies, Inc. 1.3 
Alken Asset Management, LLP London UK 5061.0 
Amp Capital Investors Limited Sydney Nsw AU 0.0 
Apple Lane Advisory, LLC 0.0 
Archer Capital Growth Funds Pty Limited Sydney Au 0.0 
Archer Capital Pty Limited Sydney, Nsw Au 0.0 
Arlington Securities 0.0 
Asia Pacific Financial Management Group, Inc. Hagatna GU 100.8 
Asset Builders Corporation 0.0 
Atb Securities Inc. Calgary CA 0.0 
Atlantic Equities LLP London UK 0.0 
Baldwin Investment Advisors, Inc. 2.0 
Barings Australia Pty Limited Sydney Au 0.0 
Bazbaz LLC 0.0 
Bermuda Investment Advisory Service Limited Hamilton BM 192.6 
Bernstein, Robert Jay 0.0 
Bmo Nesbitt Burns Securities Limited. Toronto, Ontario CA 50.0 
Bny Mellon Investment Management Hong Kong Limited Hong Kong HK 0.0 
Bosera Asset Management International Co., Limited Hong Kong HK 3028.1 
Btg Pactual Europe LLP London UK 0.0 
Caldwell International Securities 0.0 
Canaccord Genuity Wealth Management Vancouver, Bc Ca 0.0 
Cape Fear Securities, Inc. 0.0 
Cheetah Investment Management Limited Hong Kong HK 0.0 
East Capital AB Stockholm SE 0.0 
Eaton Vance Management International Limited London UK 488.7 
Efg - Hermes Uae Limited Dubai UA 0.0 
Eqt Partners Asia Limited Hong Kong CN 0.0 
Europa Investment Bank Inc. Port Of Spain TT 0.0 
Franklin Templeton International Service S.a R.l. Luxembourg LU 0.0 
Franklin Templeton Investment Management Limited London UK 38725.5 
Franklin Templeton Investments asia Limited Hong Kong HK 7534.5 
Franklin Templeton Investments Corporation. Toronto ontario CA 30737.2 
Ge Asset Management Canada Company Montreal CA 1297.1 
Hart Asset Management 0.0 
Higgins Associates Inc 2.0 
Hill Country Wealth Management 0.0 
Integrated Financial Planning Service Heidelberg DE 0.0 
Integrity Capital Management 0.0 
J.v. Delaney & Associates 0.0 
Jacques Advisors, LLC 21.4 
Janus Capital Singapore Pte. Limited Singapore SG 297.5 
Jeffrey Walter Heisey Fort Lauderdale 0.0 
John Navin Navidomskis Iv 2.8 
Kaiog Capital Partners Inc. Toronto CA 0.0 
Kinsel Financial Advisors, LLC 0.0 
Klein Asset Management LLC 11.7 
Kotak Mahindra International Limited Port Louis MU 0.0 
Kotak Mahindra uk Limited London UK 2443.8 
Littlejohn Financial Service, LLC 15.0 
Lloyds Bank PLC London UK 0.0 
Lombard Odier Transatlantic, LP Montreal CA 397.9 
Long View Financial Service, Inc 29.6 
Mackenzie Investments Toronto, Ontario CA 45132.4 
Macquarie Bank International Limited London UK 678.6 
Macquarie Fund Advisers Pty Limited Sydney Nsw AU 0.0 
Macquarie Infrastructure And Real Assets europe Limited London UK 0.0 
Max Frost & Co., Inc. 0.0 
Mb & Associates 1.2 
Midkiff & Stone Capital Group, Inc. 7.3 
N M Rothschild & Sons Limited London UK 0.0 
Orbis Investment Management Limited Hamilton BM 0.0 
Palmetto Advisory 0.0 
Pareto Project Finance Oslo NO 0.0 
Pen Facs Financial Service 24.2 
Petroff Institutional 0.0 
Pgim Limited London UK 27241.0 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
Polar Asset Management Partners Inc. Toronto CA 0.0 
Polar Investment Counsel, Inc. 91.6 
Potomac Investment Company 43.2 
Professional Broker-dealer Financial Planning, Inc. 0.7 
Putnam Investments Limited London UK 6335.9 
Rio Bravo Investimentos Dtvm LTDA. Sao Paulo BR 0.0 
Rockwell Global Advisors, LLC 28.8 
Shamrock Israel Growth Fund Advisors Limited. Tel-aviv IL 0.0 
Shapaur Investments & Trust 0.0 
Simmons And Company International Limited Aberdeen UK 0.0 
Sovereign Legacy, Inc. 26.7 
Strategic Stock Investments Inc 0.0 
Templeton Asset Management Limited. Singapore SG 29161.0 
Templeton Global Advisors Limited Nassau BS 47893.2 
The Financial Advantage Company 0.0 
Trinity Financial Group, LLC 0.0 
Ubs Swiss Financial Advisers Zurich CZ 4896.0 
United Brokers S.a. agente De Valores Montevideo UY 23.6 
Vanguard Capital 79.9 
Vertex One Asset Management Inc. Vancouver, British Columbia CA 0.0 
Wealth Quarterback, LLC 0.0 
West Face Capital Inc. Toronto CA 0.0 
Windham Capital Group, Inc. 0.0 
Windham Financial Service, Inc. 18.9 
Wyser Pratte Management Co Inc 63.4 
           
 
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

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