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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Key West Investments, LLC San Gabriel CA US 5.0 
Niagara International Capital Limited Clarence NY US 5.1 
Bridgecorp Investment Management Irvine CA US 5.3 
Joseph Gunnar & Co., LLC New York NY US 5.4 
Joel Smith & Associates, LLC Atlanta GA US 5.8 
Churchill Financial, LLC Louisville KY US 6.3 
American Trust Investment Service Advisory Whiting IN US 6.4 
Advanced Advisor Group, LLC Cambridge MN US 6.6 
Standard Investment Advisors Costa Mesa CA US 6.6 
Sunstreet Securities, LLC Avondale AZ US 6.7 
Alphasource Advisors LLC New York NY US 6.8 
Lombard Advisers Inc Baltimore MD US 6.9 
Midkiff & Stone Capital Group, Inc. 7.3 
Moneyblock Chicago IL US 7.7 
Lincoln Douglas Investments, LLC Mount Vernon OH US 8.2 
Petersen Investments, Inc. Wall NJ US 8.8 
I4 Advisors LLC Indianapolis IN US 9.0 
World Choice Securities, Inc. Bedford TX US 9.0 
M. E. Allison & Co., Inc. San Antonio TX US 9.7 
Netherland Securities, Inc. Dallas TX US 10.0 
Shearson Financial Service, LLC Boca Raton FL US 10.0 
Bozarth Wealth Management 10.0 
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:

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