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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
1st Discount Brokerage, Inc. Lake Worth FL US 22.9 
Akar Capital Management, Inc. Plantation FL US 26.9 
Allen & Company Of Florida, Inc. Lakeland FL US 714.7 
American Municipal Securities, Inc. St Petersburg FL US 0.0 
Bci Securities, Inc. Miami FL US 0.0 
Calton & Associates, Inc. Tampa FL US 714.9 
Coleridge Frost & Associates Inc Sarasota FL US 0.0 
Cp Capital Securities, Inc. Miami FL US 0.0 
Florida Atlantic Securities Corporation. Miami FL US 0.0 
G. A. Repple & Company Casselberry FL US 228.5 
Geoffrey Richards Securities Corporation. Hypoluxo FL US 0.0 
Guzman & Company Coral Gables FL US 0.0 
Gwn Securities Inc. Palm Beach Gardens FL US 1532.3 
Invest Financial Corporation Tampa FL US 4070.8 
J W Korth & Company Miami FL US 144.7 
Jeffrey Walter Heisey Fort Lauderdale FL US 0.0 
Lafise Securities Corporation Miami FL US 0.0 
Mercantil Investment Service, Inc. Coral Gables FL US 389.9 
Money Concepts Advisory Service Palm Beach Gardens FL US 1419.2 
Mutual Trust Asset Management., Inc. Clearwater FL US 86.8 
Newport Group Securities, Inc. Lake Mary FL US 28048.4 
Raymond James & Associates, Inc. St Petersburg FL US 133517.1 
Rogan & Associates Safety Harbor FL US 250.1 
Sabadell Securities Usa, Inc. Miami FL US 0.0 
Securities Research, Inc Vero Beach FL US 35.2 
Shearson Financial Service, LLC Boca Raton FL US 10.0 
Stark Financial Advisers, Inc. Delray Beach FL US 25.4 
Timothy Partners, Limited. Maitland FL US 946.8 
Transamerica Financial Advisors, Inc. St Petersburg FL US 969.4 
Vectorglobal Iag, Inc. Miami FL US 115.1 
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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