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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Emerging Managers Group, L.P. New York NY US 100.0 
Garrett Nagle & Co., Inc. Woburn MA US 100.2 
Barrett & Company Providence RI US 100.4 
Taglich Brothers, Inc. Huntington NY US 101.3 
Asia Pacific Financial Management Group, Inc. Hagatna GU 103.8 
Waterford Capital Investment Advisory Service LLC Addison TX US 105.0 
Dempsey Lord Smith, LLC Rome GA US 105.9 
Source Capital Group, Inc. Westport CT US 106.0 
Elios Financial Group, Inc. Westlake OH US 109.3 
Dale Buckner, Inc. Amarillo TX US 109.6 
Gladowsky Capital Management Corporation Smithtown NY US 109.6 
Insight Securities, Inc. Highland Park IL US 110.3 
Northeast Asset Management, Inc. Mitchel Field NY US 110.3 
Innovation Partners LLC Charlotte NC US 110.7 
Oriental Financial Service Corporation. San Juan PR US 111.7 
Lieblong & Associates, Inc. Little Rock AR US 111.7 
Wealth Asset Managers Spokane WA US 111.9 
Diversified Resources, LLC Warwick RI US 112.6 
Coordinated Capital Securities, Inc. Madison WI US 114.3 
United Brokerage Service Inc Parkersburg WV US 114.5 
Vectorglobal Iag, Inc. Miami FL US 115.1 
Sanders Morris Harris LLC Houston TX US 117.3 
Simmons First Investment Group, Inc. Little Rock AR US 118.6 
Secure Planning, Inc. Portsmouth NH US 120.2 
Communityamerica Financial Solutions, LLC Lenexa KS US 120.3 
Swbc Investment Company San Antonio TX US 122.1 
Dougherty & Company LLC Minneapolis MN US 122.1 
Northland Asset Management Minneapolis MN US 122.5 
Raymond James usa Limited Vancouver CA 127.5 
J K R & Company, Inc. Laguna Beach CA US 129.8 
Smith, Brown & Groover, Inc. Macon GA US 135.0 
Philosmith Capital Corporation Stamford CT US 140.1 
American Wealth Management, Inc. Atlanta GA US 142.5 
American Independent Securities Group, LLC Eagle ID US 142.7 
Mack Investment Securities, Inc. Northfield IL US 143.2 
Larimer Capital Corporation Denver CO US 143.4 
Aca/prudent Investors Planning Corporation Green Brook NJ US 143.8 
Mclaughlin Ryder Investments, Inc. Alexandria VA US 143.8 
G.l. Smith & Associates Huntsville AL US 143.9 
J W Korth & Company Miami FL US 144.7 
Trust Advisory Group Limited Woburn MA US 146.5 
Wealth Management Resources, Inc. N. Smithfield RI US 148.9 
Coker & Palmer Jackson MS US 150.8 
Bankoh Advisors Honolulu HI US 153.8 
Saperston Asset Management, Inc. Hamburg NY US 154.5 
Horan Wealth Management Cincinnati OH US 155.9 
Cresap, Inc. Radnor PA US 156.3 
The Putney Financial Group, Registered Investment Advisors San Rafael CA US 160.1 
First Dallas Securities, Inc. Dallas TX US 162.3 
California Capital Management North Hollywood CA US 163.3 
Caldwell Securities, Inc Sausalito CA US 165.0 
Excel Securities & Associates,Inc. Rochester NY US 165.0 
Correll Co. Investment Service Corporation. Hickory Hills IL US 165.1 
The Oak Ridge Financial Service Group, Inc Golden Valley MN US 167.8 
Credit Suisse Securities usa LLC New York NY US 168.3 
Alexander Labrunerie & Co., Inc. Columbia MO US 169.5 
Capital Financial Service, Inc. Minot ND US 173.8 
Brighton Securities Corporation. Rochester NY US 174.4 
Sunbelt Securities Houston TX US 175.9 
Alexander Investment Service Co. Louisville KY US 177.6 
Compass Capital Corporation Braintree MA US 179.5 
Accrued Equities Inc. Melville NY US 181.7 
Googins Advisors, Inc. Middleton WI US 184.0 
Mercadien Asset Management, LLC Hamilton NJ BM 186.0 
Gagnon Securities, LLC New York NY US 186.2 
Navy Federal Brokerage Service LLC Vienna VA US 186.4 
First Kentucky Securities Corporation Louisville KY US 189.3 
Pine Valley Investments Marlton NJ US 190.0 
North Ridge Securities Corporation. Melville NY US 192.0 
Bermuda Investment Advisory Service Limited Hamilton BM 192.4 
Greenberg Financial Group Tucson AZ US 194.1 
Folger Nolan Fleming Douglas Inc Washington DC US 194.4 
Johanson Financial Advisors, Inc. Campbell CA US 195.5 
Private Client Service, LLC Louisville KY US 196.3 
Hennion & Walsh Asset Management, Inc. Parsippany NJ US 198.3 
Chapin Davis Asset Management Baltimore MD US 199.5 
Performance Trust Capital Partners, LLC Chicago IL US 200.4 
Alliance Advisory & Securities, Inc Westlake Village CA US 201.5 
Deutsche Bank Securities Inc. New York NY US 201.5 
Northern Trust Securities, Inc Chicago IL US 201.8 
Safeguard Securities, Inc. Mayfield Heights OH US 207.3 
Cleveland Hauswirth Investment Management, Inc. Milwaukee WI US 208.0 
Stonnington Group, LLC Woodland Hills CA US 209.2 
Cascade Financial Management, Inc. Denver CO US 210.0 
Woodstock Financial Group, Inc. Woodstock GA US 210.7 
Gill Capital Partners Denver CO US 212.1 
Mcclurg Capital Corporation San Rafael CA US 213.0 
Means Wealth Management Bangor ME US 213.5 
Bhk Securities, LLC Birmingham AL US 215.2 
Royal Advisors, LLC Grandville MI US 216.9 
Thompson Davis Asset Management Richmond VA US 220.0 
Cascade Investment Group, Inc. Colorado Springs CO US 226.0 
Trubee, Collins & Co., Inc. Buffalo NY US 228.3 
G. A. Repple & Company Casselberry FL US 228.5 
Silver Oak Securities, Inc. Jackson TN US 230.9 
Destiny Capital Corporation Golden CO US 235.4 
Coburn & Meredith, Inc. Simsbury CT US 237.1 
Wiley Bros.-aintree Capital, LLC Nashville TN US 237.6 
Packerland Brokerage Service, Inc. Green Bay WI US 238.6 
Trg Advisors, Inc. Amherst NY US 241.3 
Dfpg Investments, Inc. Sandy UT US 241.5 
Brokers Financial Urbandale IA US 247.7 
           
 
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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