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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Ohanesian / Lecours, Inc. West Hartford CT US 502.6 
Fsic Edmonds WA US 508.2 
Ross, Sinclaire & Associates, LLC Cincinnati OH US 519.0 
J.derek Lewis & Associates, Inc. Newport Beach CA US 559.2 
Cutter & Company, Inc. Ballwin MO US 560.1 
Hunter Associates LLC Pittsburgh PA US 571.4 
Century Securities Associates Inc St Louis MO US 572.2 
Winslow, Evans & Crocker, Inc. Boston MA US 578.6 
Associated Investment Service, Inc. Green Bay WI US 582.6 
Berthel Fisher & Company Financial Service, Inc. Cedar Rapids IA US 585.9 
Girard Securities, Inc. San Diego CA US 596.8 
Pwmco, LLC Chicago IL US 606.0 
World Equity Group, Inc. Arlington Heights IL US 608.4 
Santander Securities Dorchester MA US 610.0 
1914 Advisors West Conshohocken PA US 618.0 
George Mckelvey Co., Inc. Manasquan NJ US 621.3 
Investment Professionals, Inc. San Antonio TX US 621.7 
The Strategic Financial Alliance Atlanta GA US 624.2 
Relevant Wealth Advisors, LLC Mill Valley CA US 630.0 
Bok Financial Advisors Tulsa OK US 648.0 
Capital Management Associates Inc Minneapolis MN US 653.8 
Financial West Group Reno NV US 654.0 
B. C. Ziegler And Company Chicago IL US 660.0 
Umpqua Investments, Inc. Portland OR US 665.5 
Security Capital Management Wheeling WV US 674.5 
First Citizens Investor Service, Inc. Raleigh NC US 697.0 
Santander Investment Securities Inc. New York NY US 702.1 
Allen & Company Of Florida, Inc. Lakeland FL US 714.7 
Calton & Associates, Inc. Tampa FL US 714.9 
Tfs Advisory Service Lincroft NJ US 721.8 
Triad Advisors, Inc. Norcross GA US 724.3 
City National Securities, Inc. Beverly Hills CA US 734.3 
Crown Capital Securities, L.P. Orange CA US 745.4 
Smith Moore & Co. Clayton MO US 748.2 
Capitol Securities Management, Inc. Glen Allen VA US 754.2 
Founders Financial Securities, LLC Towson MD US 754.9 
Hantz Financial Service, Inc. Southfield MI US 760.1 
Harbour Investments, Inc. Madison WI US 762.6 
Romano Wealth Management Evanston IL US 762.8 
Ausdal Financial Partners, Inc. Davenport IA US 777.3 
Kimelman & Baird, LLC New York NY US 788.5 
Goodhart Partners LLP London UK 797.6 
L.m. Kohn & Company Cincinnati OH US 802.6 
Landaas & Company Milwaukee WI US 808.1 
Arete Wealth Advisors, LLC Chicago IL US 808.3 
Olstein Capital Management, L.P. Purchase NY US 833.5 
Infinex Investments, Inc. Meriden CT US 849.8 
Sage, Rutty & Co., Inc. Rochester NY US 855.1 
Liberty Wealth Management, LLC Oakland CA US 857.9 
Unionbanc Investment Service, LLC Glendale CA US 867.6 
Pacer Advisors, Inc. Paoli PA US 877.0 
Mutual Of America Life Insurance Company New York NY US 881.0 
Fifth Third Securities, Inc. Cincinnati OH US 887.8 
The Huntington Investment Company Columbus OH US 888.1 
Hilltop Securities Inc. Dallas TX US 918.1 
Popular Securities, LLC Hato Rey PR US 943.3 
Timothy Partners, Limited. Maitland FL US 946.8 
City Securities Corporation Indianapolis IN US 949.1 
Nations Financial Group, Inc. Cedar Rapids IA US 962.4 
Transamerica Financial Advisors, Inc. St Petersburg FL US 969.4 
Cri Securities, LLC St.paul MN US 970.5 
Western International Securities Pasadena CA US 970.7 
Mcdonald Partners LLC Cleveland OH US 984.0 
           
 
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: www.adviserinfo.sec.gov

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