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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Sabadell Securities Usa, Inc. Miami FL US 0.0 
Safeguard Securities, Inc. Mayfield Heights OH US 207.3 
Sage, Rutty & Co., Inc. Rochester NY US 855.1 
Sagepoint Financial, Inc. Phoenix AZ US 5164.7 
Sanders Morris Harris LLC Houston TX US 117.3 
Sanford C. Bernstein & Co., LLC New York NY US 7931.6 
Santander Investment Securities Inc. New York NY US 702.1 
Santander Securities Dorchester MA US 610.0 
Saperston Asset Management, Inc. Hamburg NY US 154.5 
Scenic Advisement Wealth San Francisco CA US 0.0 
Scottsdale Capital Advisors Corporation Scottsdale AZ US 0.0 
Seaport Asset Management, LLC New York City NY US 0.0 
Searle & Co. Greenwich CT US 275.6 
Secure Planning, Inc. Portsmouth NH US 120.2 
Securian Financial Service, Inc. St Paul MN US 7655.3 
Securities Research, Inc Vero Beach FL US 35.2 
Security Capital Management Wheeling WV US 674.5 
Shearson Financial Service, LLC Boca Raton FL US 10.0 
Sherwold G W Associates Inc Lake Forest CA US 87.5 
Signal Securities, Inc. Fort Worth TX US 282.9 
Signator Investors, Inc. Boston MA US 5537.6 
Signature Securities Group Corporation. New York NY US 432.6 
Sii Investments, Inc. Appleton WI US 4281.2 
Silber Bennett Financial, Inc. Encino CA US 32.2 
Silicon Valley Securities, Inc. San Jose CA US 23.6 
Silver Oak Securities, Inc. Jackson TN US 230.9 
Simmons First Investment Group, Inc. Little Rock AR US 118.6 
Simmons Private Equity Aberdeen UK 0.0 
Sizemore Capital Management, LLC Dallas TX US 37.1 
Smith Moore & Co. Clayton MO US 748.2 
Smith, Brown & Groover, Inc. Macon GA US 135.0 
Somerset Wealth Management, LLC Portland OR US 0.0 
Sorrento Pacific Financial, LLC San Diego CA US 58.9 
Sorsby Financial Corporation Chicago IL US 23.0 
Sound Financial Management, Inc. Raleigh NC US 46.7 
Source Capital Group, Inc. Westport CT US 106.0 
Southeast Investments, N.c., Inc. Charlotte NC US 0.0 
Sovereign Global Advisors, LLC Melville NY US 0.0 
Sovereign Legacy, Inc. 23.4 
Sparx Asset Management Co., Limited. Tokyo JP 5963.3 
Spectrum Asset Management, Inc. Stamford CT US 20261.0 
St. Bernard Financial Service, Inc. Russellville AR US 58.8 
St. Germain Investment Management Springfield MA US 1123.3 
Standard Investment Advisors Costa Mesa CA US 6.6 
Stanford Group Company Houston TX US 3051.5 
Starboard Capital Partners, LLC Southport CT US 0.0 
Stark Financial Advisers, Inc. Delray Beach FL US 25.4 
Steben & Company, Inc. Gaithersburg MD US 476.8 
Stephen A. Kohn & Associates, Limited. Lakewood CO US 10.2 
Stephens Little Rock AR US 10350.9 
Stifel, Nicolaus & Company, Inc St Louis MO US 53887.2 
Stock Traders Huntington Beach CA US 12.5 
Stockcross Financial Service Beverly Hills CA US 50.7 
Stonehurst Securities, Inc. Folsom CA US 0.0 
Stonnington Group, LLC Woodland Hills CA US 209.2 
Straus Capital, LLC Princeton Junction NJ US 0.0 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Studness Research, Inc. 40.0 
Summit Equities Inc Parsippany NJ US 2600.0 
Sunbelt Securities Houston TX US 175.9 
Sunstreet Securities, LLC Avondale AZ US 6.7 
Suntrust Investment Service, Inc. Atlanta GA US 10443.2 
Supreme Alliance LLC 0.7 
Swbc Investment Company San Antonio TX US 122.1 
Sycamore Financial Group Kokomo IN US 379.6 
Syndicated Capital, Inc. Santa Monica CA US 59.9 
Synovus Securities, Inc. Columbus GA US 1998.2 
           
 
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: www.adviserinfo.sec.gov

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