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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Hollencrest Capital Management Newport Beach CA US 1018.4 
Comerica Securities Detroit MI US 1035.0 
Millington Securities, Inc. Red Bank NJ US 1036.9 
Bancwest Investment Service, Inc. bwis And Bwis D/b/a Fhis Omaha NE US 1056.0 
Cantella & Co., Inc. Boston MA US 1059.1 
Esi Financial Advisors Montpelier VT US 1080.3 
Bb&t Investment Service, Inc. Charlotte NC US 1083.5 
Brown Advisory Securities, LLC Baltimore MD US 1097.2 
St. Germain Investment Management Springfield MA US 1123.3 
Advisors Asset Management, Inc. Monument CO US 1166.8 
Nbc Securities, Inc. Birmingham AL US 1200.0 
Centaurus Financial, Inc. Anaheim CA US 1202.7 
Hornor, Townsend & Kent, Inc. Horsham PA US 1216.1 
Moors & Cabot, Inc Boston MA US 1217.1 
M. Griffith Investment Service, Inc. New Hartford NY US 1262.0 
Rothschild Investment Corporation Chicago IL US 1268.1 
Carolinas Investment Consulting LLC Charlotte NC US 1280.5 
Mbsc Securities Corporation New York NY US 1320.6 
Dunham & Associates Investment Counsel, Inc. San Diego CA US 1383.2 
Dupree & Company, Inc. Lexington KY US 1407.5 
Money Concepts Advisory Service Palm Beach Gardens FL US 1419.2 
Thoroughbred Financial Service, LLC Brentwood TN US 1452.7 
Harbor Investment Advisory, LLC Lutherville MD US 1470.8 
Bolton Global Asset Management Bolton MA US 1491.4 
M Holdings Securities, Inc. Portland OR US 1518.5 
Gwn Securities Inc. Palm Beach Gardens FL US 1532.3 
Arvest Wealth Management Lowell AR US 1535.0 
Wedbush Securities Inc. Los Angeles CA US 1592.5 
Wunderlich Securities, Inc. Memphis TN US 1617.7 
Abner Herrman & Brock, LLC Jersey City NJ US 1637.4 
Next Financial Group, Inc. Houston TX US 1649.7 
Prospera Financial Service, Inc. Dallas TX US 1666.4 
Key Investment Service LLC Brooklyn OH US 1743.9 
Blue Vista Capital, LLC Chicago IL US 1752.5 
Td Private Client Wealth LLC New York NY US 1789.3 
Avondale Partners, LLC Nashville TN US 1836.3 
Cuna Brokerage Service, Inc. Waverly IA US 1868.4 
Principal Securities, Inc. Des Moines IA US 1916.2 
Hanys Benefit Service Rensselaer NY US 1948.5 
Synovus Securities, Inc. Columbus GA US 1998.2 
Independent Financial Group, LLC San Diego CA US 2105.5 
Lincoln Financial Securities Corporation Fort Wayne IN US 2112.3 
Feldman, Ingardona & Co Downers Grove IL US 2122.7 
United Planners Financial Service Of America A Limited Partner Scottsdale AZ US 2377.3 
Gregory J. Schwartz & Co., Inc. Bloomfield Hills MI US 2406.1 
H. Beck, Inc. Bethesda MD US 2428.1 
Kotak Mahindra uk Limited London UK 2443.8 
Cuso Financial Service, L.P. San Diego CA US 2569.7 
Summit Equities Inc Parsippany NJ US 2600.0 
Ingalls & Snyder LLC New York NY US 2605.2 
Geneos Wealth Management, Inc. Centennial CO US 2646.6 
Fieldpoint Private Securities LLC Greenwich CT US 2697.2 
Reaves Asset Management Jersey City NJ US 2735.4 
First Financial Equity Corporation Scottsdale AZ US 2752.0 
Investment Advisors Birmingham AL US 2787.5 
Peoples Securities, Inc. Bridgeport CT US 2810.1 
Park Avenue Securities LLC New York NY US 2820.6 
Citizens Securities, Inc. Dedham MA US 2822.9 
Essex Financial Service, Inc. Essex CT US 2864.7 
Cliftonlarsonallen Wealth Advisors, LLC Minneapolis MN US 2881.2 
Hsbc Securities usa Inc. New York NY US 2974.1 
Stanford Group Company Houston TX US 3051.5 
James Hambro & Partners LLP London UK 3053.7 
Bmo Capital Markets Corporation. New York NY US 3100.0 
Ameritas Investment Corporation Lincoln NE US 3103.2 
Planmember Securities Corporation Carpinteria CA US 3150.0 
Bosera Asset Management International Co., Limited Hong Kong HK 3164.0 
Woodbury Financial Service, Inc. Oakdale MN US 3251.7 
Investment Centers Of America, Inc. Appleton WI US 3545.4 
Cadaret Grant & Co Inc Syracuse NY US 3576.1 
Invest Financial Corporation Tampa FL US 4070.8 
Sii Investments, Inc. Appleton WI US 4281.2 
Ubs Swiss Financial Advisers Zurich CZ 4552.5 
Ftb Advisors, Inc. Memphis TN US 4806.2 
Wayne Hummer Investments LLC. Chicago IL US 5037.8 
Prudential Financial Planning Service Newark NJ US 5161.2 
Sagepoint Financial, Inc. Phoenix AZ US 5164.7 
Benjamin F. Edwards & Company, Inc St. Louis MO US 5298.8 
Royal Alliance Associates, Inc. Jersey City NJ US 5419.8 
Signator Investors, Inc. Boston MA US 5537.6 
Guggenheim Funds Distributors, LLC Chicago IL US 5587.8 
Belle Haven Investments, L.P. Rye Brook NY US 5622.9 
Putnam Investments Limited London UK 5853.9 
Kms Financial Service, Inc Seattle WA US 5929.5 
Sparx Asset Management Co., Limited. Tokyo JP 5963.3 
Hefren-tillotson, Inc. Pittsburgh PA US 6161.0 
U.s. Bancorp Investments, Inc. Saint Paul MN US 6170.6 
Fsc Securities Corporation Atlanta GA US 6203.1 
Lincoln Investment Fort Washington PA US 6293.6 
Gilder Gagnon Howe & Co. LLC New York NY US 6722.3 
J.j.b. Hilliard, W.l. Lyons, LLC Louisville KY US 7005.0 
Wellington Management Hong Kong Limited Central, Hong Kong HK 7170.7 
National Planning Corporation npc Of America In Fl & Ny El Segundo CA US 7363.5 
Franklin Templeton Investments asia Limited Hong Kong HK 7534.5 
Citi Private Advisory, LLC New York NY US 7623.0 
Securian Financial Service, Inc. St Paul MN US 7655.3 
Geneva Advisors, LLC Chicago IL US 7857.4 
Sanford C. Bernstein & Co., LLC New York NY US 7931.6 
Eaton Vance Management International Limited London UK 8003.0 
Morningstar Investment Service LLC Chicago IL US 8489.5 
Thrivent Investment Management Inc. Minneapolis MN US 8706.2 
Fondsmaeglerselskabet Maj Invest A/s Copenhagen K DN 9619.9 
Oppenheimer & Co. Inc. New York NY US 9642.1 
           
 
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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