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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
I4 Advisors LLC Indianapolis IN US 9.0 
Ibn Financial Service, Inc Liverpool NY US 26.7 
Independence Capital Co., Inc. Parma OH US 36.8 
Independent Financial Group, LLC San Diego CA US 2105.5 
Independent Investment Bankers Corporation. Austin TX US 0.0 
Infinex Investments, Inc. Meriden CT US 849.8 
Infinity Financial Service Oakland CA US 65.0 
Ingalls & Snyder LLC New York NY US 2605.2 
Innovation Partners LLC Charlotte NC US 110.7 
Innovationskapital /innkap Gothenburg SE 0.0 
Insight Securities, Inc. Highland Park IL US 110.3 
Instinet, LLC New York NY US 0.0 
Integrated Financial Planning Service Heidelberg DE 0.0 
Integrated Investment Strategies,Inc. Carmel IN US 32.0 
Integrity Capital Management 0.0 
Intellivest Securities, Inc. 0.0 
Intercarolina Financial Service, Inc. Greensboro NC US 22.3 
Invest Financial Corporation Tampa FL US 4070.8 
Investcorp Securities Limited London, England UK 0.0 
Investment Advisors Birmingham AL US 2787.5 
Investment Centers Of America, Inc. Appleton WI US 3545.4 
Investment Network, Inc. Canton OH US 0.0 
Investment Professionals, Inc. San Antonio TX US 621.7 
Investors Brokerage Of Texas, Limited. Waco TX US 23.0 
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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