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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Copper Street Capital LLP Maidenhead, Berkshire UK 0.0 
Jensen Capital Asset Management Solana Beach CA US 0.0 
Pag Grand Cayman CY 0.0 
Macquarie Fund Advisers Pty Limited Sydney Nsw AU 0.0 
Darcy & Co., Inc. Syracuse NY US 0.0 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
Primerica Advisors Duluth GA US 0.0 
Franklin Templeton International Service S.a R.l. Luxembourg LU 0.0 
John Navin Navidomskis Iv 2.9 
The Baker Group, LP Oklahoma City OK US 0.0 
The Gms Group, LLC Livingston NJ US 0.0 
Principled Advisors, Inc. Staten Island NY US 0.0 
Abd Retirement Service, Inc. San Francisco CA US 0.0 
American Municipal Securities, Inc. St Petersburg FL US 0.0 
Weeden & Co.L.P. Greenwich CT US 0.0 
Nomura Securities International, Inc. New York NY US 0.0 
Kaiog Capital Partners Inc. Toronto CA 0.0 
Eqt Partners Asia Limited Hong Kong HK 0.0 
Plan B Investments, Inc. Pasadena CA US 0.0 
Amp Capital Investors Limited Sydney Nsw AU 0.0 
Pinnacle Advisors LLC Syracuse NY US 1.7 
Instinet, LLC New York NY US 0.0 
Paramus Investments LLC Paramus NJ US 1.0 
Marketx Securities, LLC 0.0 
National Financial Service, LLC Boston MA US 0.0 
Cp Capital Securities, Inc. Miami FL US 0.0 
Higgins Capital Management, Inc. La Jolla CA US 1.0 
James T. Borello & Co. East Dundee IL US 0.0 
Bernstein, Robert Jay 0.0 
Oda And Company, Inc. Medina OH US 0.0 
Cocoon Investment Management Bloomington MN US 1.7 
Global Brokerage Service, Inc. Hunt Valley MD US 0.0 
Supreme Alliance LLC 0.7 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Aaron Capital Inc Memphis TN US 3.0 
Kotak Mahindra International Limited Port Louis MU 0.0 
Independent Investment Bankers Corporation. Austin TX US 0.0 
Associate Equity Group Irving TX US 0.0 
Cambria Capital LLC Salt Lake City UT US 0.8 
Capfi Partners, LLC Washington DC US 0.0 
Financial Northeastern Securities, Inc. Fairfield NJ US 0.0 
Jcp Securities, Inc. Irvine CA US 0.0 
Maine Securities Corporation Portland, ME US 0.5 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Zelek & Associates Moultonborough NH US 0.0 
Ofg Financial Service, Inc. Topeka KS US 2.9 
Freedom Investors Corporation. Brookfield WI US 1.8 
Vertex One Asset Management Inc. Vancouver, British Columbia CA 0.0 
Brazos Securities, Inc. Dallas TX US 4.4 
Palmetto Advisory 0.0 
Professional Broker-dealer Financial Planning, Inc. 0.7 
Cape Fear Securities, Inc. 0.0 
Plexus Financial Service, LLC Deer Park IL US 0.0 
Dorn & Co., Inc. Fergus Falls MN US 0.0 
Onyx Partners, Inc Las Vegas NV US 0.0 
Cirrus Research, LLC Tarrytown NY US 0.0 
Corinthian Partners Asset Management LLC New York NY US 0.0 
Marwood Group Research LLC New York NY US 0.0 
Pursuit Capital Marketing, LLC Medfield MA US 0.0 
Grant Williams L.P. Philadephia PA US 0.0 
Cu Investment Solutions LLC Overland Park KS US 0.0 
J.h. Darbie & Co., Inc. New York NY US 0.0 
Mutual Of Omaha Investor Service, Inc. Omaha NE US 0.0 
Mb & Associates 1.2 
Abraham & Co., Inc. 3.0 
Merriman Wealth Advisors San Francisco CA US 0.0 
Ngc Financial, LLC Bayside NY US 0.1 
Scenic Advisement Wealth San Francisco CA US 0.0 
Integrity Capital Management 0.0 
Northwest Investment Advisors, Inc Spokane WA US 4.7 
Oceanic Partners, Inc. Mill Valley CA US 0.0 
Titan Securities Dallas TX US 0.0 
Tax + Investment Advisory Service Annapolis MD US 2.0 
Gbs Retirement Service, Inc. Itasca IL US 0.0 
Dba Seslia Securities St. Thomas VI US 3.0 
Bhirud Associates Inc Darien CT US 0.2 
The Kelt Group, LLC Santa Barbara CA US 4.1 
The Fig Group, LLC Dallas TX US 0.0 
Atb Securities Inc. Calgary CA 0.0 
Western Equity Group, Inc. Pleasant View TN US 0.0 
Scottsdale Capital Advisors Corporation Scottsdale AZ US 0.0 
Lexington Investment Company, Inc. Lexington KY US 0.8 
Bley Investment Group, Inc. Fort Worth TX US 0.0 
R.w.pressprich & Co. New York NY US 0.0 
Financial Planning Group Inc. the Scotch Plains NJ US 2.5 
Geoffrey Richards Securities Corporation. Hypoluxo FL US 0.0 
Three Lakes Securities, LLC Madison WI US 0.0 
Blaylock Beal Van, LLC Oakland CA US 1.0 
Willis Securities, Inc. New York NY US 0.0 
Vista Point Advisors, LLC San Francisco CA US 0.0 
Continuity Partners Group, LLC Fairfield IA US 0.0 
Hub International Investment Service Inc. hiis Westlake Village CA US 0.0 
Avendus Capital, Inc. New York NY US 0.0 
Key West Investments, LLC San Gabriel CA US 5.0 
Fairway Investment Group, LLC East Lansing MI US 4.4 
Sabadell Securities Usa, Inc. Miami FL US 0.0 
Mentor Securities, LLC Westlake Village CA US 0.0 
Intellivest Securities, Inc. 0.0 
Stonehurst Securities, Inc. Folsom CA US 0.0 
Tessera Capital Partners, LLC Penfield NY US 0.0 
Investment Network, Inc. Canton OH US 0.0 
Old Greenwich Partners, LLC 0.0 
Growth Capital Service, Inc. San Francisco CA US 0.0 
Lloyds Bank PLC London UK 0.0 
Rio Bravo Investimentos Dtvm LTDA. So Paulo BR 0.0 
Monarch Capital Group, LLC New York NY US 0.0 
Washington Securities Corporation Chevy Chase MD US 0.0 
Florida Atlantic Securities Corporation. Miami FL US 0.0 
Loop Capital Markets LLC Chicago IL US 0.0 
Southeast Investments, N.c., Inc. Charlotte NC US 0.0 
Kun-lun DEVE Corporation 0.2 
Amerivet Securities, Inc. Moreno Valley CA US 0.0 
Mirae Asset Securities usa Inc. New York NY US 0.0 
Capital Portfolio Management, Inc. Timonium MD US 1.7 
Cantone Research Inc. Tinton Falls NJ US 0.0 
Executive Service Securities, LLC Atlanta GA US 0.0 
Cws Investments Newport Beach CA US 0.0 
First State Financial Management Farmington MO US 0.1 
James L. Finefrock And Associates Corporation. Phoenix AZ US 0.0 
First Financial Securities Of America, Inc. Houston TX US 0.0 
Crews & Associates, Inc. Little Rock AR US 2.1 
Ashton Young, Inc. Bloomfield Hills MI US 0.0 
Quincy Cass Associates, Inc. Los Angeles CA US 0.0 
Carl M. Hennig, Inc. Milwaukee WI US 0.0 
1st Financial Investment, Inc. Clarks Summit PA US 3.0 
Liberty Centre Capital Management, LLC North Liberty IA US 0.0 
Gravitas Wealth Advisors, LLC Toronto, Ontario CA 0.2 
Cheetah Investment Management Limited Hong Kong HK 0.0 
Orbis Investment Management Limited Hamilton BM 0.0 
Barings Australia Pty Limited Sydney AU 0.0 
Grail Partners San Francisco CA US 0.0 
Radnor Research & Trading Company LLC Berwyn PA US 0.0 
Redhawk Investment Advisors Bloomington MN US 0.0 
Guzman & Company Coral Gables FL US 0.0 
Cornerstone Financial Service, Inc. Greenfield IN US 0.0 
Arlington Securities 0.0 
Cooper Malone Mcclain, Inc. Wichita KS US 0.0 
Oak Tree Securities, Inc. Livermore CA US 4.6 
Raphael Aryeh And Associates Flushing NY US 4.4 
E-w Investment Counsel, A Division Of E-w Investments, Inc. San Gabriel CA US 0.5 
M&t Securities, Inc. Buffalo NY US 0.0 
Pacific Commonwealth Corporation Tiburon CA US 0.0 
Ni Advisors Oakland CA US 0.0 
Straus Capital, LLC Princeton Junction NJ US 0.0 
Northwestern Mutual Investment Service,LLC Milwaukee WI US 0.0 
Europa Investment Bank Inc. Port Of Spain TT 0.0 
Marwood Group New York NY US 0.0 
Baker & Eastlack Capital Management, LLC 0.0 
Mma Securities LLC New York NY US 0.0 
N M Rothschild & Sons Limited London UK 0.0 
Simmons Private Equity Aberdeen UK 0.0 
Aon Securities Inc. Chicago IL US 0.0 
Integrated Financial Planning Service Heidelberg DE 0.0 
Macquarie Agricultural Funds Management Limited Sydney Nsw AU 0.0 
Needham & Company, LLC New York NY US 0.0 
Neuberger Berman Bd LLC New York NY US 0.0 
Windham Capital Group, Inc. 0.0 
Croft & Bender, LP Atlanta GA US 0.0 
Jeffrey Walter Heisey Fort Lauderdale FL US 0.0 
Lafise Securities Corporation Miami FL US 0.0 
Joseph Stone Wealth Management LLC Mineola NY US 0.0 
Nationwide Securities, LLC Grandview Heights OH US 0.0 
Kitsune Advisors 0.0 
Collins/bay Island Securities, LLC Newport Beach CA US 0.0 
Coleridge Frost & Associates Inc Sarasota FL US 0.0 
J.v. Delaney & Associates 0.0 
Leumi Investment Service Inc. New York NY US 0.0 
Colorado Financial Service Corporation Centennial CO US 4.4 
Wells Nelson & Associates, LLC. Oklahoma OK US 0.0 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Multiple Financial Service, Inc. Irvine CA US 3.5 
East Capital AB Stockholm SE 0.0 
Airacobra Capital Management, LLC Plano TX US 0.0 
Polar Asset Management Partners Inc. Toronto CA 0.0 
Macquarie Infrastructure And Real Assets europe Limited London UK 0.0 
Trez Capital Fund Management LP Vancouver, Bc CA 0.0 
Atlantic Equities LLP London UK 0.0 
Verum, LLC Waltham MA US 0.0 
Hightower Financial Solutions LLC Chicago IL US 0.0 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
Starboard Capital Partners, LLC Southport CT US 0.0 
Oppenheim & Co. Limited St. Peter Port GG 0.0 
Archer Capital Pty Limited Sydney, Nsw AU 0.0 
Archer Capital Growth Funds Pty Limited Sydney AU 0.0 
Somerset Wealth Management, LLC Portland OR US 0.0 
Pleso Capital Group, Inc. 0.0 
Bci Securities, Inc. Miami FL US 0.0 
Sovereign Global Advisors, LLC Melville NY US 0.0 
Church Capital, LLC 0.0 
Jmg Securities, LLC New York NY US 0.0 
Turning Point Analytics, LLC 0.0 
Federated Securities Corporation. Pittsburgh PA US 0.0 
Innovationskapital /innkap Gothenburg SE 0.0 
Mutual Capital Partners Funds Westlake OH US 0.0 
West Face Capital Inc. Toronto CA 0.0 
Seaport Asset Management, LLC New York City NY US 0.0 
Efg - Hermes Uae Limited Dubai UAE 0.0 
Canaccord Genuity Wealth Management Vancouver, Bc CA 0.0 
New Leaf Capital, LLC Denver CO US 0.0 
Mmc Securities LLC New York NY US 0.0 
Td Ameritrade, Inc. Omaha NE US 0.0 
Btg Pactual Europe LLP London UK 0.0 
Investcorp Securities Limited London, England UK 0.0 
Credit Suisse Insurance Linked Strategies Limited Zurich CZ 0.0 
First Allied Securities, Inc. San Diego CA US 0.0 
Charles Schwab & Co., Inc. San Francisco CA US 0.0 
Horace Mann Investors, Inc. Springfield IL US 0.0 
Usi Securities, Inc. Glastonbury CT US 0.0 
American Funds Distributors, Inc. Los Angeles CA US 0.0 
Nexbank Wealth Advisors Dallas TX US 0.0 
Farmers Financial Solutions, LLC Agoura Hills CA US 0.0 
Hanson Mcclain Securities Sacramento CA US 0.0 
           
 
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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