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) 
L.m. Kohn & Company Cincinnati OH US 802.6 
Lafayette Investments, Inc. Ashton MD US 408.5 
Lafise Securities Corporation Miami FL US 0.0 
Landaas & Company Milwaukee WI US 808.1 
Landolt Securities, Inc. Oshkosh WI US 50.6 
Lara, May & Associates, LLC Falls Church VA US 322.3 
Larimer Capital Corporation Denver CO US 143.4 
Leader Capital Corporation. Vancouver WA US 326.5 
Leigh Baldwin & Co., LLC Cazenovia NY US 20.4 
Lesko Securities, Inc. Binghamton NY US 47.8 
Leumi Investment Service Inc. New York NY US 0.0 
Levy, Harkins & Co., Inc. New York NY US 278.4 
Lexington Investment Company, Inc. Lexington KY US 0.8 
Liberty Capital Portland OR US 26.4 
Liberty Centre Capital Management, LLC North Liberty IA US 0.0 
Liberty Wealth Management, LLC Oakland CA US 857.9 
Lieblong & Associates, Inc. Little Rock AR US 111.7 
Lifecourse Capital, Inc. Madison AL US 54.5 
Lifemark Securities Corporation. Rochester NY US 39.4 
Lincoln Douglas Investments, LLC Mount Vernon OH US 8.2 
Lincoln Financial Advisors Corporation Fort Wayne IN US 15325.7 
Lincoln Financial Securities Corporation Fort Wayne IN US 2112.3 
Lincoln Investment Fort Washington PA US 6293.6 
Littlejohn Financial Service, LLC 15.0 
Lloyds Bank PLC London UK 0.0 
Loeb Partners Corporation New York NY US 381.1 
Lombard Advisers Inc Baltimore MD US 6.9 
Lombard Odier Transatlantic Limited Montreal CA 477.5 
Long View Financial Service, Inc 29.6 
Loop Capital Markets LLC Chicago IL US 0.0 
Lowell Wealth Management Lubbock TX US 41.3 
Lpl Financial LLC Boston MA US 117247.8 
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