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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Stephens Little Rock AR US 10350.9 
Davenport & Company LLC Richmond VA US 10387.0 
Suntrust Investment Service, Inc. Atlanta GA US 10443.2 
Cetera Advisors LLC Denver CO US 10963.5 
Voya Financial Advisors, Inc. Des Moines IA US 11150.8 
D.a. Davidson & Co. Great Falls MT US 11806.7 
Pnc Investments Pittsburgh PA US 11917.1 
Bmo Harris Financial Advisors, Inc Chicago IL US 12186.4 
Nfp Advisor Service, LLC Austin TX US 12254.0 
Mortgage INDS Advisory Company New York NY US 12400.0 
Axa Advisors, LLC New York NY US 12845.8 
Bb&t Securities, LLC Richmond VA US 13358.0 
Metlife Securities Inc. New York NY US 13803.7 
Cbiz Retirement Plan Advisory Service Cleveland OH US 13843.8 
Wellington Management Singapore Pte Limited Singapore SG 14468.2 
Wellington Management Canada LLC Boston MA US 14622.1 
Cetera Advisor Networks LLC El Segundo CA US 15297.8 
Lincoln Financial Advisors Corporation Fort Wayne IN US 15325.7 
William Blair & Company LLC. Chicago IL US 16216.7 
Bernard L. Madoff Investment Securities LLC New York NY US 17091.6 
Waddell & Reed Overland Park KS US 19056.9 
Citigroup Global Markets Inc. New York NY US 20231.0 
Spectrum Asset Management, Inc. Stamford CT US 20261.0 
First Manhattan Co New York NY US 20476.5 
Advice And Planning Service New York NY US 21672.5 
Crescent Capital Group LP Los Angeles CA US 24561.2 
Valic Financial Advisors, Inc. Houston TX US 24744.9 
Usaa Investment Management Company San Antonio TX US 25236.4 
Mml Investors Service, LLC Springfield MA US 25618.0 
Wellington Management Japan Pte Limited Tokyo JP 26342.2 
Janney Montgomery Scott LLC Philadelphia PA US 27301.1 
Newport Group Securities, Inc. Lake Mary FL US 28048.4 
Templeton Asset Management Limited. Singapore SG 29161.0 
Franklin Templeton Investments Corporation. Toronto ontario CA 30737.2 
Pgim Limited London UK 31293.1 
Directed Service LLC Scottsdale AZ US 38420.7 
Franklin Templeton Investment Management Limited London UK 38725.5 
Wells Fargo Advisors Financial Network, LLC St. Louis MO US 42504.1 
Templeton Global Advisors Limited Nassau BS 47893.2 
Mackenzie Investments Toronto, Ontario CA 48573.9 
Stifel, Nicolaus & Company, Inc St Louis MO US 53887.2 
Commonwealth Financial Network Waltham MA US 61475.2 
J.p. Morgan Securities LLC New York NY US 81561.7 
Rbc Capital Markets, LLC New York NY US 81781.5 
Wellington Management International Limited London UK 103506.0 
Robert W. Baird & Co. Inc Milwaukee WI US 107585.6 
Lpl Financial LLC Boston MA US 117247.8 
Raymond James & Associates, Inc. St Petersburg FL US 133517.1 
Nikko Asset Management Co Limited Tokyo JP 147963.8 
Russell Investments Seattle WA US 153294.4 
Ameriprise Financial Service, Inc. Minneapolis MN US 198002.7 
Goldman Sachs & Co. LLC New York NY US 198821.5 
Edward Jones St. Louis MO US 262472.6 
Hamilton Lane Bala Cynwyd PA US 342475.4 
Ubs Financial Service Inc. Weehawken NJ US 391709.6 
Wells Fargo Clearing Service, LLC St. Louis MO US 409716.3 
Morgan Stanley Purchase NY US 598502.7 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY US 639574.2 
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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