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) 
H. Beck, Inc. Bethesda MD US 2428.1 
Hall & Romkema Financial Service, LLC. East Lansing MI US 68.0 
Hamilton Lane Bala Cynwyd PA US 342475.4 
Hancock Investment Service, Inc. New Orleans LA US 401.6 
Hanson Mcclain Securities Sacramento CA US 0.0 
Hantz Financial Service, Inc. Southfield MI US 760.1 
Hanys Benefit Service Rensselaer NY US 1948.5 
Harbor Financial Service, LLC Mobile AL US 289.1 
Harbor Investment Advisory, LLC Lutherville MD US 1470.8 
Harbour Investments, Inc. Madison WI US 762.6 
Harger And Company, Inc. Baton Rouge LA US 14.7 
Harold Dance Investments Logan UT US 32.0 
Harvest Financial Corporation Pittsburgh PA US 45.5 
Hefren-tillotson, Inc. Pittsburgh PA US 6161.0 
Hennion & Walsh Asset Management, Inc. Parsippany NJ US 198.3 
Heritage Benefits Investment Management, LLC Bellevue WA US 23.4 
Hermes Econometrics San Rafael CA US 26.0 
Herndon Plant Oakley Limited Corpus Christi TX US 59.1 
Higgins Capital Management, Inc. La Jolla CA US 1.0 
Hightower Financial Solutions LLC Chicago IL US 0.0 
Hilltop Securities Inc. Dallas TX US 918.1 
Hilltop Securities Independent Network Inc. Dallas TX US 279.5 
Hollencrest Capital Management Newport Beach CA US 1018.4 
Horace Mann Investors, Inc. Springfield IL US 0.0 
Horan Wealth Management Cincinnati OH US 155.9 
Hornor, Townsend & Kent, Inc. Horsham PA US 1216.1 
Hsbc Securities usa Inc. New York NY US 2974.1 
Hub International Investment Service Inc. hiis Westlake Village CA US 0.0 
Huckin Financial Group, Inc. Houston TX US 34.7 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY US 78.0 
Hunter Associates LLC Pittsburgh PA US 571.4 
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