broker dealer firms Powered By Private Equity Info 
Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
download Private Equity Firms
Sorted by industry and
acquisition criteria.
Registered Broker Dealer
Firm Name City State Country Assets ($M) 
U.s. Bancorp Investments, Inc. Saint Paul MN US 6170.6 
Ubs Financial Service Inc. Weehawken NJ US 391709.6 
Ubs Swiss Financial Advisers Zurich CZ 4552.5 
Uhlmann Investment Management, LLC. Chicago IL US 56.0 
Umb Financial Service, Inc. Kansas City MO US 16.9 
Umpqua Investments, Inc. Portland OR US 665.5 
Union Capital Company Tucson AZ US 38.0 
Unionbanc Investment Service, LLC Glendale CA US 867.6 
United Brokerage Service Inc Parkersburg WV US 114.5 
United Brokers S.a. (agente De Valores) Montevideo CU 22.2 
United Planners Financial Service Of America A Limited Partner Scottsdale AZ US 2377.3 
Usa Financial Securities Corporation Ada MI US 262.3 
Usaa Investment Management Company San Antonio TX US 25236.4 
Usi Securities, Inc. Glastonbury CT US 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:

Find a Registered Broker-Dealer
Search the directory using either:
  • Search broker-dealers alphabetically
  • Search broker-dealers by state
  • Search broker-dealers by assets under management
Download Broker-Dealer Firms
To order a download-to-Excel file of broker-dealer firms, visit

Other Relevant Information
Search SEC-registered hedge funds: Search Registered Investment Advisors (RIAs):

This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.

No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.

Home | Download Data | Links | Contact Us

©2011- PEI Services Ltd. All Rights Reserved. Terms and Conditions