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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Abd Retirement Service, Inc. San Francisco CA USA 0.0 
Abraham & Co., Inc. 3.0 
Advice And Planning Service New York NY USA 21672.5 
Advisors Asset Management, Inc. Monument CO USA 1166.8 
Ameriprise Financial Service, Inc. Minneapolis MN USA 198002.7 
Amp Capital Investors Limited Sydney Nsw AU 0.0 
Andrew Garrett, Inc. New York NY USA 45.3 
Archer Capital Growth Funds Pty Limited Sydney Au 0.0 
Archer Capital Pty Limited Sydney, Nsw Au 0.0 
Arete Wealth Advisors, LLC Chicago IL USA 808.3 
Arlington Securities 0.0 
Asia Pacific Financial Management Group, Inc. Hagatna GU 100.8 
Atb Securities Inc. Calgary CA 0.0 
Atlantic Equities LLP London UK 0.0 
Ausdal Financial Partners, Inc. Davenport IA USA 777.3 
Bancwest Investment Service, Inc. bwis And Bwis D/b/a Fhis Omaha NE USA 1056.0 
Barings Australia Pty Limited Sydney Au 0.0 
Bb&t Investment Service, Inc. Charlotte NC USA 759.3 
Bb&t Securities, LLC Richmond VA USA 13358.0 
Bcg Securities, Inc. Cherry Hill NJ USA 338.7 
Bermuda Investment Advisory Service Limited Hamilton BM 192.6 
Bernstein, Robert Jay 0.0 
Berthel Fisher & Company Financial Service, Inc. Cedar Rapids IA USA 585.9 
Bmo Nesbitt Burns Securities Limited. Toronto, Ontario CA 50.0 
Bolton Global Asset Management Bolton MA USA 1491.4 
Bosera Asset Management International Co., Limited Hong Kong HK 3028.1 
Bozarth Wealth Management 10.0 
Brighton Securities Corporation. Rochester NY USA 174.4 
Btg Pactual Europe LLP London UK 0.0 
Cadaret Grant & Co Inc Syracuse NY USA 3576.1 
Canaccord Genuity Wealth Management Vancouver, Bc Ca 0.0 
Cape Fear Securities, Inc. 0.0 
Capital City Asset Management Group, LLC Columbus OH USA 35.8 
Century Securities Associates Inc St Louis MO USA 572.2 
Cetera Advisor Networks LLC El Segundo CA USA 15297.8 
Cetera Advisors LLC Denver CO USA 10963.5 
Chapin Davis Asset Management Baltimore MD USA 199.5 
Cheetah Investment Management Limited Hong Kong HK 0.0 
Church Capital, LLC 0.0 
Citizens Securities, Inc. Dedham MA USA 2822.9 
Client One Securities LLC Leawood KS USA 331.2 
Credit Suisse Securities usa LLC New York NY USA 168.3 
Cri Securities, LLC St.paul MN USA 970.5 
Croft & Bender, LP Atlanta GA USA 0.0 
Cuna Brokerage Service, Inc. Waverly IA USA 1619.3 
Dale Buckner, Inc. Dba Dale Buckner And Asset Planning Group Amarillo TX USA 109.6 
Dunham & Associates Investment Counsel, Inc. San Diego CA USA 1383.2 
East Capital AB Stockholm SE 0.0 
Eaton Vance Management International Limited London UK 8003.0 
Edward Jones St. Louis MO USA 204205.7 
Efg - Hermes Uae Limited Dubai UAE 0.0 
Eqt Partners Asia Limited Hong Kong CN 0.0 
Europa Investment Bank Inc. Port Of Spain TT 0.0 
Excel Securities & Associates,Inc. Rochester NY USA 165.0 
Farmers Financial Solutions, LLC Agoura Hills CA USA 0.0 
Fiduciary Standard, LLC 13.0 
Fifth Third Securities, Inc. Cincinnati OH USA 887.8 
Financial West Group Westlake Village CA USA 654.0 
First Allied Securities, Inc. San Diego CA USA 0.0 
First Manhattan Co New York NY USA 20476.5 
Founders Financial Securities, LLC Towson MD USA 754.9 
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 
Fsc Securities Corporation Atlanta GA USA 6203.1 
Fsw Advisory Service Inc. Dallas TX USA 17.0 
Gladowsky Capital Management Corporation Smithtown NY USA 109.6 
Goldman, Sachs & Co. New York NY USA 198821.5 
H. Beck, Inc. Bethesda MD USA 2428.1 
Harbour Investments, Inc. Madison WI USA 762.6 
Herndon Plant Oakley Limited Corpus Christi TX USA 59.1 
Hilltop Securities Inc. Dallas TX USA 918.1 
Hilltop Securities Independent Network Inc. Dallas TX USA 279.5 
Horan Wealth Management Cincinnati OH USA 155.9 
Hornor, Townsend & Kent, Inc. Horsham PA USA 1216.1 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY USA 78.0 
Infinex Investments, Inc. Meriden CT USA 849.8 
Innovation Partners LLC Charlotte NC USA 110.7 
Innovationskapital /innkap Gothenburg SE 0.0 
Integrated Financial Planning Service Heidelberg DE 0.0 
Integrity Capital Management 0.0 
Intellivest Securities, Inc. 0.0 
Invest Financial Corporation Tampa FL USA 4070.8 
Investment Advisors Birmingham AL USA 2787.5 
Investment Centers Of America, Inc. Appleton WI USA 3545.4 
J.v. Delaney & Associates 0.0 
Jacques Advisors, LLC 21.4 
Janus Capital Singapore Pte. Limited Singapore SG 297.5 
John Navin Navidomskis Iv 2.8 
Jsk Associates Inc. White Plains NY USA 51.3 
Kaiog Capital Partners Inc. Toronto CA 0.0 
Kcd Financial, Inc. Green Bay WI USA 33.0 
Key Investment Service LLC Brooklyn OH USA 1259.5 
Kitsune Advisors 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 
Kun-lun DEVE Corporation 0.2 
Landaas & Company Milwaukee WI USA 808.1 
Lara, May & Associates, LLC Falls Church VA USA 322.3 
Larimer Capital Corporation Denver CO USA 143.4 
Lesko Securities, Inc. Binghamton NY USA 47.8 
Lincoln Financial Advisors Corporation Fort Wayne IN USA 15325.7 
Littlejohn Financial Service, LLC 15.0 
Lloyds Bank PLC London UK 0.0 
Lombard Odier Transatlantic Limited Montreal CA 477.5 
Long View Financial Service, Inc 29.6 
Lpl Financial LLC Boston MA USA 117247.8 
Mackenzie Investments Toronto, Ontario CA 45132.4 
Macquarie Fund Advisers Pty Limited Sydney Nsw AU 0.0 
Macquarie Infrastructure And Real Assets europe Limited London UK 0.0 
Mb & Associates 1.2 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY USA 639574.2 
Mha Financial Corporation 23.0 
Midkiff & Stone Capital Group, Inc. 7.3 
Mml Investors Service, LLC Springfield MA USA 25618.0 
Morgan Stanley Purchase NY USA 598502.7 
Morningstar Investment Service LLC Chicago IL USA 8489.5 
Msh Capital Advisors LLC Scottsdale AZ USA 0.0 
Mutual Of America Life Insurance Company New York NY USA 881.0 
Mwa Financial Service, Inc. Rock Island IL USA 11.4 
N M Rothschild & Sons Limited London UK 0.0 
Nationwide Securities, LLC Grandview Heights OH USA 0.0 
Nikko Asset Management Co Limited Tokyo JP 120572.7 
North Ridge Securities Corporation. Melville NY USA 174.4 
Old Greenwich Partners, LLC 0.0 
Oppenheimer & Co. Inc. New York NY USA 9634.9 
Orbis Investment Management Limited Hamilton BM 0.0 
Pacer Advisors, Inc. Paoli PA USA 877.0 
Packerland Brokerage Service, Inc. Green Bay WI USA 238.6 
Palmetto Advisory 0.0 
Park Avenue Securities LLC New York NY USA 7228.2 
Paulson Investment Company, LLC Chicago IL USA 15.4 
Paulson Investment Company, LLC Chicago IL USA 15.4 
Pen Facs Financial Service 24.2 
Pension Fund Evaluations, Inc. Centereach NY USA 0.0 
Peoples Securities, Inc. Bridgeport CT USA 2810.1 
Pgim Limited London UK 27241.0 
Pine Valley Investments Marlton NJ USA 190.0 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
Planmember Securities Corporation Carpinteria CA USA 3150.0 
Pleso Capital Group, Inc. 0.0 
Polar Asset Management Partners Inc. Toronto CA 0.0 
Potomac Investment Company 43.2 
Principled Advisors, Inc. Staten Island NY USA 0.0 
Professional Broker-dealer Financial Planning, Inc. 0.7 
Prospera Financial Service, Inc. Dallas TX USA 1382.8 
Prudential Financial Planning Service Newark NJ USA 5161.2 
Putnam Investments Limited London UK 6335.9 
Rbc Capital Markets, LLC New York NY USA 81781.5 
Reaves Asset Management Jersey City NJ USA 2735.4 
Rio Bravo Investimentos Dtvm LTDA. Sao Paulo BR 0.0 
Rogan & Associates Safety Harbor FL USA 250.1 
Royal Alliance Associates, Inc. New York NY USA 5419.8 
Sagepoint Financial, Inc. Phoenix AZ USA 5164.7 
Sanders Morris Harris LLC Houston TX USA 117.3 
Sanford C. Bernstein & Co., LLC New York NY USA 7931.6 
Santander Investment Securities Inc. New York NY USA 702.1 
Signator Investors, Inc. Boston MA USA 5537.6 
Sii Investments, Inc. Appleton WI USA 4281.2 
Silver Oak Securities, Inc. Jackson TN USA 230.9 
Simmons And Company International Limited Aberdeen UK 0.0 
Source Capital Group, Inc. Westport CT USA 106.0 
Sovereign Legacy, Inc. 26.7 
Stephens Little Rock AR USA 7764.9 
Stifel, Nicolaus & Company, Inc St Louis MO USA 53887.2 
Summit Equities Inc Parsippany NJ USA 2600.0 
Supreme Alliance LLC 0.7 
Td Ameritrade, Inc. Omaha NE USA 0.0 
Templeton Asset Management Limited. Singapore SG 29161.0 
Templeton Global Advisors Limited Nassau BS 47893.2 
The Huntington Investment Company Columbus OH USA 888.1 
The Strategic Financial Alliance Atlanta GA USA 624.2 
Thompson Davis Asset Management Richmond VA USA 220.0 
Thurston, Springer, Miller, Herd & Titak, Inc. Indianapolis IN USA 331.1 
Transamerica Financial Advisors, Inc. St Petersburg FL USA 969.4 
Turning Point Analytics, LLC 0.0 
Ubs Swiss Financial Advisers Zurich CZ 4871.6 
Umpqua Investments, Inc. Portland OR USA 665.5 
United Brokers S.a. agente De Valores Montevideo UY 23.6 
Usa Financial Securities Corporation Ada MI USA 262.3 
Usaa Investment Management Company San Antonio TX USA 25236.4 
Vertex One Asset Management Inc. Vancouver, British Columbia CA 0.0 
Voya Financial Advisors, Inc. Des Moines IA USA 11150.8 
Waddell & Reed Overland Park KS USA 19056.9 
Wealth Management Resources, Inc. N. Smithfield RI USA 148.9 
Wellington Shields & Co., LLC New York NY USA 278.5 
Wells Fargo Advisors Financial Network, LLC St. Louis MO USA 42504.1 
Wells Fargo Clearing Service, LLC St. Louis MO USA 409716.3 
West Face Capital Inc. Toronto CA 0.0 
Westminster Financial Advisory Corporation Dayton OH USA 294.4 
Windham Capital Group, Inc. 0.0 
Windham Financial Service, Inc. 18.9 
Woodbury Financial Service, Inc. Oakdale MN USA 3251.7 
Woodstock Financial Group, Inc. Woodstock GA USA 210.7 
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:

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