broker dealer firms Powered By Private Equity Info 
Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
download Private Equity Firms
Sorted by industry and
acquisition criteria.
Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Fairway Investment Group, LLC East Lansing MI US 4.4 
Farmers Financial Solutions, LLC Agoura Hills CA US 0.0 
Federated Securities Corporation. Pittsburgh PA US 0.0 
Feldman, Ingardona & Co Downers Grove IL US 2122.7 
Fiduciary Standard, LLC 13.0 
Fieldpoint Private Securities LLC Greenwich CT US 2697.2 
Fifth Third Securities, Inc. Cincinnati OH US 887.8 
Fig Partners, LLC Atlanta GA US 73.0 
Financial Northeastern Securities, Inc. Fairfield NJ US 0.0 
Financial Planning Group Inc. the Scotch Plains NJ US 2.5 
Financial Sense Advisors, Inc. San Diego CA US 394.6 
Financial West Group Reno NV US 654.0 
First Allied Securities, Inc. San Diego CA US 0.0 
First Citizens Investor Service, Inc. Raleigh NC US 697.0 
First Dallas Securities, Inc. Dallas TX US 162.3 
First Financial Equity Corporation Scottsdale AZ US 2752.0 
First Financial Securities Of America, Inc. Houston TX US 0.0 
First Georgetown Securities, Inc Alexandria VA US 87.5 
First Kentucky Securities Corporation Louisville KY US 189.3 
First Manhattan Co New York NY US 20476.5 
First State Financial Management Farmington MO US 0.1 
First Western Advisors Holladay UT US 270.5 
First Western Securities, Inc. Hurst TX US 25.0 
Florida Atlantic Securities Corporation. Miami FL US 0.0 
Folger Nolan Fleming Douglas Inc Washington DC US 194.4 
Fondsmaeglerselskabet Maj Invest A/s Copenhagen K DN 9619.9 
Foresters Equity Service, Inc. San Diego CA US 16.0 
Founders Financial Securities, LLC Towson MD US 754.9 
Franklin Templeton International Service S.a R.l. Luxembourg LU 0.0 
Franklin Templeton Investment Management Limited London UK 38725.5 
Franklin Templeton Investments asia Limited Hong Kong HK 7534.5 
Franklin Templeton Investments Corporation. Toronto ontario CA 30737.2 
Freedom Investors Corporation. Brookfield WI US 1.8 
Fsb Premier Wealth Management, Inc. Waterloo IA US 13.0 
Fsc Securities Corporation Atlanta GA US 6203.1 
Fsic Edmonds WA US 508.2 
Fsw Advisory Service Inc. Dallas TX US 17.0 
Ftb Advisors, Inc. Memphis TN US 4806.2 
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:

Find a Registered Broker-Dealer
Search the directory using either:
  • Search broker-dealers alphabetically
  • Search broker-dealers by state
  • Search broker-dealers by assets under management
Download Broker-Dealer Firms
To order a download-to-Excel file of broker-dealer firms, visit

Other Relevant Information
Search SEC-registered hedge funds: Search Registered Investment Advisors (RIAs):

This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.

No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.

Home | Download Data | Links | Contact Us

©2011- PEI Services Ltd. All Rights Reserved. Terms and Conditions