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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
N M Rothschild & Sons Limited London UK 0.0 
Nafa Capital Markets, LLC Oklahoma City OK US 42.0 
National Financial Service, LLC Boston MA US 0.0 
National Pension & Group Consultants, Inc. Kansas City MO US 30.8 
National Planning Corporation npc Of America In Fl & Ny El Segundo CA US 7363.5 
Nations Financial Group, Inc. Cedar Rapids IA US 962.4 
Nationwide Securities, LLC Grandview Heights OH US 0.0 
Navy Federal Brokerage Service LLC Vienna VA US 186.4 
Nbc Securities, Inc. Birmingham AL US 1200.0 
Needham & Company, LLC New York NY US 0.0 
Nestlerode & Loy, Inc. State College PA US 89.6 
Netherland Securities, Inc. Dallas TX US 10.0 
Neuberger Berman Bd LLC New York NY US 0.0 
New Leaf Capital, LLC Denver CO US 0.0 
Newport Group Securities, Inc. Lake Mary FL US 28048.4 
Nexbank Wealth Advisors Dallas TX US 0.0 
Next Financial Group, Inc. Houston TX US 1649.7 
Nfp Advisor Service, LLC Austin TX US 12254.0 
Ngc Financial, LLC Bayside NY US 0.1 
Ni Advisors Oakland CA US 0.0 
Niagara International Capital Limited Clarence NY US 5.1 
Nikko Asset Management Co Limited Tokyo JP 147963.8 
Nomura Securities International, Inc. New York NY US 0.0 
North Ridge Securities Corporation. Melville NY US 192.0 
North South Capital, LLC Chicago IL US 18.3 
Northeast Asset Management, Inc. Mitchel Field NY US 110.3 
Northern Trust Securities, Inc Chicago IL US 201.8 
Northland Asset Management Minneapolis MN US 122.5 
Northwest Investment Advisors, Inc Spokane WA US 4.7 
Northwestern Mutual Investment Service,LLC Milwaukee WI US 0.0 
Npa Asset Management, LLC Paramus NJ US 391.2 
Npb Financial Group, LLC Burbank CA US 281.0 
Ntb Advisors, A Division Of Ntb Financial Corporation Centennial CO US 281.8 
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:

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