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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
R & R Financial Planners, Inc. East Meadow NY US 17.1 
R. F. Lafferty & Co., Inc. New York NY US 61.5 
R.m. Duncan Capital Management Corporation Little Rock AR US 10.7 
R.w.pressprich & Co. New York NY US 0.0 
Radnor Research & Trading Company LLC Berwyn PA US 0.0 
Raphael Aryeh And Associates Flushing NY US 4.4 
Raymond James & Associates, Inc. St Petersburg FL US 133517.1 
Raymond James usa Limited Vancouver CA 127.5 
Rbc Capital Markets, LLC New York NY US 81781.5 
Reaves Asset Management Jersey City NJ US 2735.4 
Redhawk Investment Advisors Bloomington MN US 0.0 
Relevant Wealth Advisors, LLC Mill Valley CA US 630.0 
Renaissance Advisory Group Bryn Mawr PA US 40.0 
Repex Investment Management Co., Inc. Closter NJ US 34.0 
Revere Wealth Management LLC New York NY US 99.7 
Richards, Merrill & Peterson, Inc. Spokane WA US 47.3 
Rio Bravo Investimentos Dtvm LTDA. So Paulo BR 0.0 
Rjj Pasadena Securities, Inc. South Pasadena CA US 59.9 
Robert W. Baird & Co. Inc Milwaukee WI US 107585.6 
Rogan & Associates Safety Harbor FL US 250.1 
Romano Wealth Management Evanston IL US 762.8 
Ross, Sinclaire & Associates, LLC Cincinnati OH US 519.0 
Roth Capital Partners, LLC Newport Beach CA US 11.9 
Rothschild Investment Corporation Chicago IL US 1268.1 
Royal Advisors, LLC Grandville MI US 216.9 
Royal Alliance Associates, Inc. Jersey City NJ US 5419.8 
Russell Investments Seattle WA US 153294.4 
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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