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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
D.a. Davidson & Co. Great Falls MT US 11806.7 
Dale Buckner, Inc. Amarillo TX US 109.6 
Darcy & Co., Inc. Syracuse NY US 0.0 
Dart, Papesh & Company, Inc. East Lansing MI US 17.0 
Davenport & Company LLC Richmond VA US 10387.0 
Davinci Capital Management Inc. Cambridge MA US 18.1 
Dba Seslia Securities St. Thomas VI US 3.0 
Dempsey Lord Smith, LLC Rome GA US 105.9 
Destiny Capital Corporation Golden CO US 235.4 
Deutsche Bank Securities Inc. New York NY US 201.5 
Dfpg Investments, Inc. Sandy UT US 241.5 
Directed Service LLC Scottsdale AZ US 38420.7 
Diversified Resources, LLC Warwick RI US 112.6 
Dorn & Co., Inc. Fergus Falls MN US 0.0 
Dorsey & Company Inc. New Orleans LA US 457.1 
Dougherty & Company LLC Minneapolis MN US 122.1 
Dunham & Associates Investment Counsel, Inc. San Diego CA US 1383.2 
Dupree & Company, Inc. Lexington KY US 1407.5 
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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