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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Access Financial Group, Inc. Chicago IL US 325.0 
Aon Securities Inc. Chicago IL US 0.0 
Arete Wealth Advisors, LLC Chicago IL US 808.3 
B. C. Ziegler And Company Chicago IL US 660.0 
Blue Vista Capital, LLC Chicago IL US 1752.5 
Bmo Harris Financial Advisors, Inc Chicago IL US 12186.4 
Correll Co. Investment Service Corporation. Hickory Hills IL US 165.1 
Feldman, Ingardona & Co Downers Grove IL US 2122.7 
Gbs Retirement Service, Inc. Itasca IL US 0.0 
Geneva Advisors, LLC Chicago IL US 7857.4 
Guggenheim Funds Distributors, LLC Chicago IL US 5587.8 
Hightower Financial Solutions LLC Chicago IL US 0.0 
Horace Mann Investors, Inc. Springfield IL US 0.0 
Insight Securities, Inc. Highland Park IL US 110.3 
James T. Borello & Co. East Dundee IL US 0.0 
Loop Capital Markets LLC Chicago IL US 0.0 
Mack Investment Securities, Inc. Northfield IL US 143.2 
Midwestern Securities Trading Co.,LLC East Peoria IL US 324.0 
Millington Financial Advisors, LLC Naperville IL US 35.2 
Moneyblock Chicago IL US 7.7 
Morningstar Investment Service LLC Chicago IL US 8489.5 
Mwa Financial Service, Inc. Rock Island IL US 11.4 
North South Capital, LLC Chicago IL US 18.3 
Northern Trust Securities, Inc Chicago IL US 201.8 
Paulson Investment Company, LLC Chicago IL US 15.4 
Performance Trust Capital Partners, LLC Chicago IL US 200.4 
Plexus Financial Service, LLC Deer Park IL US 0.0 
Podesta & Co. Chicago IL US 16.2 
Pwmco, LLC Chicago IL US 606.0 
Romano Wealth Management Evanston IL US 762.8 
Rothschild Investment Corporation Chicago IL US 1268.1 
Sorsby Financial Corporation Chicago IL US 23.0 
Uhlmann Investment Management, LLC. Chicago IL US 56.0 
Wayne Hummer Investments LLC. Chicago IL US 5037.8 
William Blair & Company LLC. Chicago IL US 16216.7 
World Equity Group, Inc. Arlington Heights IL US 608.4 
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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