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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Waddell & Reed Overland Park KS US 19056.9 
Washington Securities Corporation Chevy Chase MD US 0.0 
Waterford Capital Investment Advisory Service LLC Addison TX US 105.0 
Wayne Hummer Investments LLC. Chicago IL US 5037.8 
Wbb Securities, LLC San Diego CA US 12.7 
Wealth Asset Managers Spokane WA US 111.9 
Wealth Management Resources, Inc. N. Smithfield RI US 148.9 
Wedbush Securities Inc. Los Angeles CA US 1592.5 
Weeden & Co.L.P. Greenwich CT US 0.0 
Wellington Management Canada LLC Boston MA US 14622.1 
Wellington Management Hong Kong Limited Central, Hong Kong HK 7170.7 
Wellington Management International Limited London UK 103506.0 
Wellington Management Japan Pte Limited Tokyo JP 26342.2 
Wellington Management Singapore Pte Limited Singapore SG 14468.2 
Wellington Shields & Co., LLC New York NY US 278.5 
Wells Fargo Advisors Financial Network, LLC St. Louis MO US 42504.1 
Wells Fargo Clearing Service, LLC St. Louis MO US 409716.3 
Wells Nelson & Associates, LLC. Oklahoma OK US 0.0 
Wesbanco Securities, Inc. St Clairsville OH US 25.8 
Wescom Financial Service, LLC Pasadena CA US 73.1 
West Face Capital Inc. Toronto CA 0.0 
Western Equity Group, Inc. Pleasant View TN US 0.0 
Western Growers Financial Service Irvine CA US 98.4 
Western International Securities Pasadena CA US 970.7 
Westminster Financial Advisory Corporation Dayton OH US 294.4 
Westpark Capital, Inc. Los Angeles CA US 44.4 
Westport Capital Markets, LLC Westport CT US 258.6 
Whitehall-parker Securities, Inc San Francisco CA US 14.0 
Wiley Bros.-aintree Capital, LLC Nashville TN US 237.6 
William Blair & Company LLC. Chicago IL US 16216.7 
Willis Securities, Inc. New York NY US 0.0 
Wilmington Capital Securities, LLC Garden City NY US 52.7 
Windham Capital Group, Inc. 0.0 
Windham Financial Service, Inc. 18.9 
Winslow, Evans & Crocker, Inc. Boston MA US 578.6 
Woodbury Financial Service, Inc. Oakdale MN US 3251.7 
Woodstock Financial Group, Inc. Woodstock GA US 210.7 
World Choice Securities, Inc. Bedford TX US 9.0 
World Equity Group, Inc. Arlington Heights IL US 608.4 
World Trend Financial Planning Service, Limited. Cedar Rapids IA US 393.6 
Worth Financial Group Inc. Dallas TX US 12.1 
Wulff, Hansen & Co. San Francisco CA US 81.1 
Wunderlich Securities, Inc. Memphis TN US 1617.7 
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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