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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
B. C. Ziegler And Company Chicago IL US 660.0 
B.b. Graham & Company, Inc. Orange CA US 77.5 
Baker & Co., Inc Rocky River OH US 18.3 
Baker & Eastlack Capital Management, LLC 0.0 
Bancwest Investment Service, Inc. bwis And Bwis D/b/a Fhis Omaha NE US 1056.0 
Bankoh Advisors Honolulu HI US 153.8 
Barings Australia Pty Limited Sydney AU 0.0 
Barrett & Company Providence RI US 100.4 
Bb&t Investment Service, Inc. Charlotte NC US 1083.5 
Bb&t Securities, LLC Richmond VA US 13358.0 
Bcg Securities, Inc. Cherry Hill NJ US 292.6 
Bci Securities, Inc. Miami FL US 0.0 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Belle Haven Investments, L.P. Rye Brook NY US 5622.9 
Benjamin F. Edwards & Company, Inc St. Louis MO US 5298.8 
Benjamin Securities, Inc. Hauppauge NY US 32.9 
Bennington Financial Planning Group Bennington VT US 40.0 
Bermuda Investment Advisory Service Limited Hamilton BM 192.4 
Bernard L. Madoff Investment Securities LLC New York NY US 17091.6 
Bernstein, Robert Jay 0.0 
Berthel Fisher & Company Financial Service, Inc. Cedar Rapids IA US 585.9 
Bestvest Investments, Limited. Media PA US 49.5 
Bft Financial Group, LLC Bedford TX US 362.9 
Bhirud Associates Inc Darien CT US 0.2 
Bhk Securities, LLC Birmingham AL US 215.2 
Blaylock Beal Van, LLC Oakland CA US 1.0 
Bley Investment Group, Inc. Fort Worth TX US 0.0 
Blue Vista Capital, LLC Chicago IL US 1752.5 
Bmo Capital Markets Corporation. New York NY US 3100.0 
Bmo Harris Financial Advisors, Inc Chicago IL US 12186.4 
Bmo Nesbitt Burns Securities Limited. Toronto, Ontario CA 50.0 
Bodell Overcash Anderson & Co., Inc. Jamestown NY US 24.5 
Bok Financial Advisors Tulsa OK US 648.0 
Bolton Global Asset Management Bolton MA US 1491.4 
Bosera Asset Management International Co., Limited Hong Kong HK 3164.0 
Bozarth Wealth Management 10.0 
Bpu Investment Management, Inc. Pittsburgh PA US 428.7 
Brazos Securities, Inc. Dallas TX US 4.4 
Bridgecorp Investment Management Irvine CA US 5.3 
Brighton Securities Corporation. Rochester NY US 174.4 
Brokers Financial Urbandale IA US 247.7 
Brown Advisory Securities, LLC Baltimore MD US 1097.2 
Brown, Lisle/cummings, Inc Providence RI US 39.2 
Bryan Advisory Service, LLC Canonsburg PA US 41.0 
Btg Pactual Europe LLP London UK 0.0 
Buckram Securities Limited Glen Cove NY US 34.4 
Buttonwood Partners, Inc. Madison WI US 18.8 
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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