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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Abd Retirement Service, Inc. San Francisco CA US 0.0 
Alamo Capital Walnut Creek CA US 37.0 
Alliance Advisory & Securities, Inc Westlake Village CA US 201.5 
American Funds Distributors, Inc. Los Angeles CA US 0.0 
American Investors Co San Ramon CA US 344.8 
Amerivet Securities, Inc. Moreno Valley CA US 0.0 
APS Associates Jackson CA US 75.0 
B.b. Graham & Company, Inc. Orange CA US 77.5 
Blaylock Beal Van, LLC Oakland CA US 1.0 
Bridgecorp Investment Management Irvine CA US 5.3 
Caldwell Securities, Inc Sausalito CA US 165.0 
California Capital Management North Hollywood CA US 163.3 
Capital Synergy Partners Newport Beach CA US 35.7 
Centaurus Financial, Inc. Anaheim CA US 1202.7 
Cetera Advisor Networks LLC El Segundo CA US 15297.8 
Charles Schwab & Co., Inc. San Francisco CA US 0.0 
City National Securities, Inc. Beverly Hills CA US 734.3 
Collins/bay Island Securities, LLC Newport Beach CA US 0.0 
Crescent Capital Group LP Los Angeles CA US 24561.2 
Crown Capital Securities, L.P. Orange CA US 745.4 
Cuso Financial Service, L.P. San Diego CA US 2569.7 
Cws Investments Newport Beach CA US 0.0 
Dunham & Associates Investment Counsel, Inc. San Diego CA US 1383.2 
E-w Investment Counsel, A Division Of E-w Investments, Inc. San Gabriel CA US 0.5 
Emerson Equity LLC San Mateo CA US 60.0 
Farmers Financial Solutions, LLC Agoura Hills CA US 0.0 
Financial Sense Advisors, Inc. San Diego CA US 394.6 
First Allied Securities, Inc. San Diego CA US 0.0 
Foresters Equity Service, Inc. San Diego CA US 16.0 
Girard Securities, Inc. San Diego CA US 596.8 
Gold Coast Securities, Inc. Thousand Oaks CA US 35.9 
Grail Partners San Francisco CA US 0.0 
Growth Capital Service, Inc. San Francisco CA US 0.0 
Hanson Mcclain Securities Sacramento CA US 0.0 
Hermes Econometrics San Rafael CA US 26.0 
Higgins Capital Management, Inc. La Jolla CA US 1.0 
Hollencrest Capital Management Newport Beach CA US 1018.4 
Hub International Investment Service Inc. hiis Westlake Village CA US 0.0 
Independent Financial Group, LLC San Diego CA US 2105.5 
Infinity Financial Service Oakland CA US 65.0 
J K R & Company, Inc. Laguna Beach CA US 129.8 
J.derek Lewis & Associates, Inc. Newport Beach CA US 559.2 
Jcp Securities, Inc. Irvine CA US 0.0 
Jensen Capital Asset Management Solana Beach CA US 0.0 
Johanson Financial Advisors, Inc. Campbell CA US 195.5 
Key West Investments, LLC San Gabriel CA US 5.0 
Liberty Wealth Management, LLC Oakland CA US 857.9 
Madison Avenue Securities, LLC San Diego CA US 485.0 
Mcclurg Capital Corporation San Rafael CA US 213.0 
Mentor Securities, LLC Westlake Village CA US 0.0 
Merriman Wealth Advisors San Francisco CA US 0.0 
Ministry Partners Securities, LLC Brea CA US 10.4 
Mirae Asset Wealth Management usa Inc. Los Angeles CA US 49.1 
Multiple Financial Service, Inc. Irvine CA US 3.5 
National Planning Corporation npc Of America In Fl & Ny El Segundo CA US 7363.5 
Ni Advisors Oakland CA US 0.0 
Npb Financial Group, LLC Burbank CA US 281.0 
Oak Tree Securities, Inc. Livermore CA US 4.6 
Oceanic Partners, Inc. Mill Valley CA US 0.0 
Optivest, Inc. Dana Point CA US 347.4 
Pacific Commonwealth Corporation Tiburon CA US 0.0 
Painter, Smith And Amberg Inc. Redlands CA US 80.4 
Pflueger & Baerwald Inc. San Francisco CA US 32.2 
Plan B Investments, Inc. Pasadena CA US 0.0 
Planmember Securities Corporation Carpinteria CA US 3150.0 
Portsmouth Financial Service San Francisco CA US 19.9 
Private Portfolio Of San Diego La Jolla CA US 52.1 
Qca Capital Management Inc Los Angeles CA US 62.0 
Quest Capital Strategies, Inc. Lake Forest CA US 35.0 
Quest Securities, Inc. Fair Oaks CA US 51.0 
Quincy Cass Associates, Inc. Los Angeles CA US 0.0 
Relevant Wealth Advisors, LLC Mill Valley CA US 630.0 
Rjj Pasadena Securities, Inc. South Pasadena CA US 59.9 
Roth Capital Partners, LLC Newport Beach CA US 11.9 
Scenic Advisement Wealth San Francisco CA US 0.0 
Sherwold G W Associates Inc Lake Forest CA US 87.5 
Silber Bennett Financial, Inc. Encino CA US 32.2 
Silicon Valley Securities, Inc. San Jose CA US 23.6 
Sorrento Pacific Financial, LLC San Diego CA US 58.9 
Standard Investment Advisors Costa Mesa CA US 6.6 
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 
Syndicated Capital, Inc. Santa Monica CA US 59.9 
The Kelt Group, LLC Santa Barbara CA US 4.1 
The Putney Financial Group, Registered Investment Advisors San Rafael CA US 160.1 
Unionbanc Investment Service, LLC Glendale CA US 867.6 
Vista Point Advisors, LLC San Francisco CA US 0.0 
Wbb Securities, LLC San Diego CA US 12.7 
Wedbush Securities Inc. Los Angeles CA US 1592.5 
Wescom Financial Service, LLC Pasadena CA US 73.1 
Western Growers Financial Service Irvine CA US 98.4 
Western International Securities Pasadena CA US 970.7 
Westpark Capital, Inc. Los Angeles CA US 44.4 
Whitehall-parker Securities, Inc San Francisco CA US 14.0 
Wulff, Hansen & Co. San Francisco CA US 81.1 
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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