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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Abner Herrman & Brock, LLC Jersey City NJ US 1637.4 
Aca/prudent Investors Planning Corporation Green Brook NJ US 143.8 
Bcg Securities, Inc. Cherry Hill NJ US 292.6 
Cantone Research Inc. Tinton Falls NJ US 0.0 
Financial Northeastern Securities, Inc. Fairfield NJ US 0.0 
Financial Planning Group Inc. the Scotch Plains NJ US 2.5 
George Mckelvey Co., Inc. Manasquan NJ US 621.3 
Hennion & Walsh Asset Management, Inc. Parsippany NJ US 198.3 
Mercadien Asset Management, LLC Hamilton NJ BM 186.0 
Millington Securities, Inc. Red Bank NJ US 1036.9 
Npa Asset Management, LLC Paramus NJ US 391.2 
Paramus Investments LLC Paramus NJ US 1.0 
Petersen Investments, Inc. Wall NJ US 8.8 
Pine Valley Investments Marlton NJ US 190.0 
Prudential Financial Planning Service Newark NJ US 5161.2 
Pts Brokerage, LLC Mt. Laurel NJ US 25.0 
Reaves Asset Management Jersey City NJ US 2735.4 
Repex Investment Management Co., Inc. Closter NJ US 34.0 
Royal Alliance Associates, Inc. Jersey City NJ US 5419.8 
Straus Capital, LLC Princeton Junction NJ US 0.0 
Summit Equities Inc Parsippany NJ US 2600.0 
Tfs Advisory Service Lincroft NJ US 721.8 
The Gms Group, LLC Livingston NJ US 0.0 
Ubs Financial Service Inc. Weehawken NJ US 391709.6 
Vaughan And Company Securities, Inc. Ridgewood NJ US 72.2 
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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