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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 81.0 
Pacer Advisors, Inc. Paoli PA US 877.0 
Pacific Commonwealth Corporation Tiburon CA US 0.0 
Packerland Brokerage Service, Inc. Green Bay WI US 238.6 
Pag Grand Cayman CY 0.0 
Painter, Smith And Amberg Inc. Redlands CA US 80.4 
Palmetto Advisory 0.0 
Paramus Investments LLC Paramus NJ US 1.0 
Park Avenue Securities LLC New York NY US 2820.6 
Paulson Investment Company, LLC Chicago IL US 15.4 
Peachtree Capital Corporation Inc. Atlanta GA US 37.2 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
Peoples Securities, Inc. Bridgeport CT US 2810.1 
Performance Trust Capital Partners, LLC Chicago IL US 200.4 
Petersen Investments, Inc. Wall NJ US 8.8 
Pflueger & Baerwald Inc. San Francisco CA US 32.2 
Pgim Limited London UK 31293.1 
Philosmith Capital Corporation Stamford CT US 140.1 
Pine Valley Investments Marlton NJ US 190.0 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
Pinnacle Advisors LLC Syracuse NY US 1.7 
Pinnacle Investments, LLC Syracuse NY US 339.4 
Piper Jaffray & Co. Minneapolis MN US 393.8 
Plan B Investments, Inc. Pasadena CA US 0.0 
Planmember Securities Corporation Carpinteria CA US 3150.0 
Planned Investment Co., Inc. Indianapolis IN US 44.9 
Planners Financial Service, Inc. Mendota Heights MN US 91.7 
Pleso Capital Group, Inc. 0.0 
Plexus Financial Service, LLC Deer Park IL US 0.0 
Pnc Investments Pittsburgh PA US 11917.1 
Podesta & Co. Chicago IL US 16.2 
Polar Asset Management Partners Inc. Toronto CA 0.0 
Popular Securities, LLC Hato Rey PR US 943.3 
Portfolio Design Advisors, Inc. Centennial CO US 33.5 
Portfolio Management Network, Inc Pittsburgh PA US 22.0 
Portsmouth Financial Service San Francisco CA US 19.9 
Potomac Investment Company 43.2 
Presidential Brokerage, Inc. Greenwood Village CO US 64.7 
Primerica Advisors Duluth GA US 0.0 
Principal Securities, Inc. Des Moines IA US 1916.2 
Principled Advisors, Inc. Staten Island NY US 0.0 
Private Client Service, LLC Louisville KY US 196.3 
Private Label Money Management, Inc. Kirkwood MO US 14.6 
Private Portfolio Of San Diego La Jolla CA US 52.1 
Proactive Wealth Management Lexington KY US 12.0 
Professional Broker-dealer Financial Planning, Inc. 0.7 
Prospera Financial Service, Inc. Dallas TX US 1666.4 
Prudential Financial Planning Service Newark NJ US 5161.2 
Pts Brokerage, LLC Mt. Laurel NJ US 25.0 
Pursuit Capital Marketing, LLC Medfield MA US 0.0 
Putnam Investments Limited London UK 5853.9 
Pwmco, LLC Chicago IL US 606.0 
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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