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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Alexander Labrunerie & Co., Inc. Columbia MO US 169.5 
Benjamin F. Edwards & Company, Inc St. Louis MO US 5298.8 
Century Securities Associates Inc St Louis MO US 572.2 
Commerce Brokerage Service, Inc Clayton MO US 382.1 
Country Club Financial Service, Inc. Kansas City MO US 46.4 
Cutter & Company, Inc. Ballwin MO US 560.1 
Edward Jones St. Louis MO US 262472.6 
First State Financial Management Farmington MO US 0.1 
Midwest Investment Advisors, LLC Fenton MO US 19.1 
Moloney Securities Asset Management LLC Manchester MO US 487.0 
National Pension & Group Consultants, Inc. Kansas City MO US 30.8 
Private Label Money Management, Inc. Kirkwood MO US 14.6 
Smith Moore & Co. Clayton MO US 748.2 
Stifel, Nicolaus & Company, Inc St Louis MO US 53887.2 
The Garbacz Group Inc. St. Louis MO US 12.4 
Umb Financial Service, Inc. Kansas City MO US 16.9 
Vestech Securities, Inc. St. Louis MO US 16.0 
Wells Fargo Advisors Financial Network, LLC St. Louis MO US 42504.1 
Wells Fargo Clearing Service, LLC St. Louis MO US 409716.3 
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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