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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
G. A. Repple & Company Casselberry FL US 228.5 
G.l. Smith & Associates Huntsville AL US 143.9 
Gagnon Securities, LLC New York NY US 186.2 
Garrett Nagle & Co., Inc. Woburn MA US 100.2 
Gbs Retirement Service, Inc. Itasca IL US 0.0 
Geneos Wealth Management, Inc. Centennial CO US 2646.6 
Geneva Advisors, LLC Chicago IL US 7857.4 
Geoffrey Richards Securities Corporation. Hypoluxo FL US 0.0 
George Mckelvey Co., Inc. Manasquan NJ US 621.3 
Gilder Gagnon Howe & Co. LLC New York NY US 6722.3 
Gilford Financial Corporation. New York NY US 80.7 
Gill Capital Partners Denver CO US 212.1 
Girard Securities, Inc. San Diego CA US 596.8 
Gladowsky Capital Management Corporation Smithtown NY US 109.6 
Global Brokerage Service, Inc. Hunt Valley MD US 0.0 
Gold Coast Securities, Inc. Thousand Oaks CA US 35.9 
Goldman Sachs & Co. LLC New York NY US 198821.5 
Goodhart Partners LLP London UK 797.6 
Googins Advisors, Inc. Middleton WI US 184.0 
Gradient Wealth Management Arden Hills MN US 55.5 
Grail Partners San Francisco CA US 0.0 
Gramercy Park Wealth Advisors, LLC Nashville TN US 42.8 
Grant Williams L.P. Philadephia PA US 0.0 
Gravitas Wealth Advisors, LLC Toronto, Ontario CA 0.2 
Great American Advisors, Inc. Cincinnati OH US 36.1 
Greenberg Financial Group Tucson AZ US 194.1 
Gregory J. Schwartz & Co., Inc. Bloomfield Hills MI US 2406.1 
Growth Capital Service, Inc. San Francisco CA US 0.0 
Guggenheim Funds Distributors, LLC Chicago IL US 5587.8 
Guzman & Company Coral Gables FL US 0.0 
Gwn Securities Inc. Palm Beach Gardens FL US 1532.3 
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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