broker dealer firms Powered By Private Equity Info 
Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
download Private Equity Firms
Sorted by industry and
acquisition criteria.
Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Bmo Nesbitt Burns Securities Limited. Toronto, Ontario CA 50.0 
Landolt Securities, Inc. Oshkosh WI US 50.6 
Stockcross Financial Service Beverly Hills CA US 50.7 
Quest Securities, Inc. Fair Oaks CA US 51.0 
Jsk Associates Inc. White Plains NY US 51.3 
Private Portfolio Of San Diego La Jolla CA US 52.1 
Wilmington Capital Securities, LLC Garden City NY US 52.7 
Charter Oak Asset Management, Inc. Cheshire CT US 53.1 
Lifecourse Capital, Inc. Madison AL US 54.5 
Gradient Wealth Management Arden Hills MN US 55.5 
Uhlmann Investment Management, LLC. Chicago IL US 56.0 
Conley Capital Group Eugene OR US 58.5 
St. Bernard Financial Service, Inc. Russellville AR US 58.8 
Sorrento Pacific Financial, LLC San Diego CA US 58.9 
Herndon Plant Oakley Limited Corpus Christi TX US 59.1 
Syndicated Capital, Inc. Santa Monica CA US 59.9 
Rjj Pasadena Securities, Inc. South Pasadena CA US 59.9 
Emerson Equity LLC San Mateo CA US 60.0 
R. F. Lafferty & Co., Inc. New York NY US 61.5 
Qca Capital Management Inc Los Angeles CA US 62.0 
Carter, Terry & Company, Inc. Atlanta GA US 63.7 
Andrew Garrett, Inc. New York NY US 64.6 
Presidential Brokerage, Inc. Greenwood Village CO US 64.7 
Infinity Financial Service Oakland CA US 65.0 
The Scott S. James Company Falls Church VA US 65.8 
Hall & Romkema Financial Service, LLC. East Lansing MI US 68.0 
Vaughan And Company Securities, Inc. Ridgewood NJ US 72.2 
Fig Partners, LLC Atlanta GA US 73.0 
Wescom Financial Service, LLC Pasadena CA US 73.1 
APS Associates Jackson CA US 75.0 
Thornhill Securities, Inc. Austin TX US 75.7 
B.b. Graham & Company, Inc. Orange CA US 77.5 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY US 78.0 
Painter, Smith And Amberg Inc. Redlands CA US 80.4 
Gilford Financial Corporation. New York NY US 80.7 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 81.0 
Wulff, Hansen & Co. San Francisco CA US 81.1 
Mid-atlantic Securities, Inc. Raleigh NC US 83.3 
Mutual Trust Asset Management., Inc. Clearwater FL US 86.8 
First Georgetown Securities, Inc Alexandria VA US 87.5 
Sherwold G W Associates Inc Lake Forest CA US 87.5 
Nestlerode & Loy, Inc. State College PA US 89.6 
Oneamerica Securities, Inc. Indianapolis IN US 90.7 
Planners Financial Service, Inc. Mendota Heights MN US 91.7 
Western Growers Financial Service Irvine CA US 98.4 
Revere Wealth Management LLC New York NY US 99.7 
Emerging Managers Group, L.P. New York NY US 100.0 
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:

Find a Registered Broker-Dealer
Search the directory using either:
  • Search broker-dealers alphabetically
  • Search broker-dealers by state
  • Search broker-dealers by assets under management
Download Broker-Dealer Firms
To order a download-to-Excel file of broker-dealer firms, visit

Other Relevant Information
Search SEC-registered hedge funds: Search Registered Investment Advisors (RIAs):

This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.

No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.

Home | Download Data | Links | Contact Us

©2011- PEI Services Ltd. All Rights Reserved. Terms and Conditions