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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Taglich Brothers, Inc. Huntington NY US 101.3 
Tax + Investment Advisory Service Annapolis MD US 2.0 
Taylor Securities, Inc. Brentwood TN US 261.2 
Td Ameritrade, Inc. Omaha NE US 0.0 
Td Private Client Wealth LLC New York NY US 1789.3 
Teckmeyer Financial Service, LLC. Omaha NE US 33.1 
Templeton Asset Management Limited. Singapore SG 29161.0 
Templeton Global Advisors Limited Nassau BS 47893.2 
Tessera Capital Partners, LLC Penfield NY US 0.0 
Tfs Advisory Service Lincroft NJ US 721.8 
The Baker Group, LP Oklahoma City OK US 0.0 
The Fig Group, LLC Dallas TX US 0.0 
The Garbacz Group Inc. St. Louis MO US 12.4 
The Gms Group, LLC Livingston NJ US 0.0 
The Huntington Investment Company Columbus OH US 888.1 
The J. Arnold Wealth Management Co., LLC Canfield OH US 45.0 
The Kelt Group, LLC Santa Barbara CA US 4.1 
The Oak Ridge Financial Service Group, Inc Golden Valley MN US 167.8 
The Putney Financial Group, Registered Investment Advisors San Rafael CA US 160.1 
The Scott S. James Company Falls Church VA US 65.8 
The Strategic Financial Alliance Atlanta GA US 624.2 
Thompson Davis Asset Management Richmond VA US 220.0 
Thornhill Securities, Inc. Austin TX US 75.7 
Thoroughbred Financial Service, LLC Brentwood TN US 1452.7 
Three Lakes Securities, LLC Madison WI US 0.0 
Thrivent Investment Management Inc. Minneapolis MN US 8706.2 
Thurston Springer Financial Indianapolis IN US 474.8 
Timothy Partners, Limited. Maitland FL US 946.8 
Titan Securities Dallas TX US 0.0 
Titleist Asset Management, Limited. San Antonio TX US 280.0 
Transamerica Financial Advisors, Inc. St Petersburg FL US 969.4 
Trendz Advisors Knoxville TN US 36.9 
Trez Capital Fund Management LP Vancouver, Bc CA 0.0 
Trg Advisors, Inc. Amherst NY US 241.3 
Triad Advisors, Inc. Norcross GA US 724.3 
Trubee, Collins & Co., Inc. Buffalo NY US 228.3 
Truenorth, Inc. Wichita KS US 427.1 
Trust Advisory Group Limited Woburn MA US 146.5 
Trustfirst Inc. Knoxville TN US 43.6 
Tryon Investments, LLC North Liberty IA US 37.5 
Turning Point Analytics, LLC 0.0 
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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