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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
J K R & Company, Inc. Laguna Beach CA US 129.8 
J W Korth & Company Miami FL US 144.7 
J.derek Lewis & Associates, Inc. Newport Beach CA US 559.2 
J.h. Darbie & Co., Inc. New York NY US 0.0 
J.j.b. Hilliard, W.l. Lyons, LLC Louisville KY US 7005.0 
J.p. Morgan Securities LLC New York NY US 81561.7 
J.v. Delaney & Associates 0.0 
J.v.b. Investment Company Jackson MI US 23.8 
Jacques Advisors, LLC 21.4 
James Hambro & Partners LLP London UK 3053.7 
James L. Finefrock And Associates Corporation. Phoenix AZ US 0.0 
James T. Borello & Co. East Dundee IL US 0.0 
Janney Montgomery Scott LLC Philadelphia PA US 27301.1 
Janus Capital Singapore Pte. Limited Singapore SG 316.6 
Jcp Securities, Inc. Irvine CA US 0.0 
Jeffrey Walter Heisey Fort Lauderdale FL US 0.0 
Jensen Capital Asset Management Solana Beach CA US 0.0 
Jmg Securities, LLC New York NY US 0.0 
Joel Smith & Associates, LLC Atlanta GA US 5.8 
Johanson Financial Advisors, Inc. Campbell CA US 195.5 
John Navin Navidomskis Iv 2.9 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Joseph Gunnar & Co., LLC New York NY US 5.4 
Joseph Stone Wealth Management LLC Mineola NY US 0.0 
Jsk Associates Inc. White Plains NY US 51.3 
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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