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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Rogan & Associates Safety Harbor FL US 250.1 
Westport Capital Markets, LLC Westport CT US 258.6 
Keidan Financial Consultants LLC Columbus OH US 260.0 
Taylor Securities, Inc. Brentwood TN US 261.2 
Usa Financial Securities Corporation Ada MI US 262.3 
Cullen Asset Management Lafayette LA US 262.4 
First Western Advisors Holladay UT US 270.5 
Curbstone Financial Management Corporation. Manchester NH US 273.0 
Allegheny Investments, Limited. Pittsburgh PA US 273.3 
Voya Financial Partners, LLC Windsor CT US 273.4 
Searle & Co. Greenwich CT US 275.6 
Levy, Harkins & Co., Inc. New York NY US 278.4 
Wellington Shields & Co., LLC New York NY US 278.5 
Hilltop Securities Independent Network Inc. Dallas TX US 279.5 
Titleist Asset Management, Limited. San Antonio TX US 280.0 
Npb Financial Group, LLC Burbank CA US 281.0 
Ntb Advisors, A Division Of Ntb Financial Corporation Centennial CO US 281.8 
Signal Securities, Inc. Fort Worth TX US 282.9 
Harbor Financial Service, LLC Mobile AL US 289.1 
Consolidated Investment Advisors Charlotte NC US 291.9 
Bcg Securities, Inc. Cherry Hill NJ US 292.6 
Westminster Financial Advisory Corporation Dayton OH US 294.4 
Cowen Prime Advisors New York NY US 299.5 
Conning Investment Products, Inc. Hartford CT US 303.4 
Janus Capital Singapore Pte. Limited Singapore SG 316.6 
Lara, May & Associates, LLC Falls Church VA US 322.3 
Midwestern Securities Trading Co.,LLC East Peoria IL US 324.0 
Access Financial Group, Inc. Chicago IL US 325.0 
Leader Capital Corporation. Vancouver WA US 326.5 
Client One Securities LLC Leawood KS US 331.2 
Pinnacle Investments, LLC Syracuse NY US 339.4 
American Investors Co San Ramon CA US 344.8 
Optivest, Inc. Dana Point CA US 347.4 
Bft Financial Group, LLC Bedford TX US 362.9 
Aegis Capital Corporation. New York NY US 369.1 
Monongahela Capital Management Harmony PA US 369.4 
Centennial Securities Company Inc Grand Rapids MI US 379.5 
Sycamore Financial Group Kokomo IN US 379.6 
Loeb Partners Corporation New York NY US 381.1 
Commerce Brokerage Service, Inc Clayton MO US 382.1 
Mercantil Investment Service, Inc. Coral Gables FL US 389.9 
Cairn Capital North America Inc. Stamford CT US 390.4 
Npa Asset Management, LLC Paramus NJ US 391.2 
World Trend Financial Planning Service, Limited. Cedar Rapids IA US 393.6 
Piper Jaffray & Co. Minneapolis MN US 393.8 
Financial Sense Advisors, Inc. San Diego CA US 394.6 
Hancock Investment Service, Inc. New Orleans LA US 401.6 
Msh Capital Advisors LLC Scottsdale AZ US 407.2 
Lafayette Investments, Inc. Ashton MD US 408.5 
Ek Riley Investments, LLC Seattle WA US 426.1 
Truenorth, Inc. Wichita KS US 427.1 
Bpu Investment Management, Inc. Pittsburgh PA US 428.7 
Signature Securities Group Corporation. New York NY US 432.6 
Dorsey & Company Inc. New Orleans LA US 457.1 
Thurston Springer Financial Indianapolis IN US 474.8 
Euro Pacific Capital, Inc. Westport CT US 474.9 
Steben & Company, Inc. Gaithersburg MD US 476.8 
Lombard Odier Transatlantic Limited Montreal CA 477.5 
Madison Avenue Securities, LLC San Diego CA US 485.0 
Moloney Securities Asset Management LLC Manchester MO US 487.0 
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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