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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Accrued Equities Inc. Melville NY US 181.7 
Advice And Planning Service New York NY US 21672.5 
Aegis Capital Corporation. New York NY US 369.1 
Alphasource Advisors LLC New York NY US 6.8 
Andrew Garrett, Inc. New York NY US 64.6 
Avendus Capital, Inc. New York NY US 0.0 
Axa Advisors, LLC New York NY US 12845.8 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Belle Haven Investments, L.P. Rye Brook NY US 5622.9 
Benjamin Securities, Inc. Hauppauge NY US 32.9 
Bernard L. Madoff Investment Securities LLC New York NY US 17091.6 
Bmo Capital Markets Corporation. New York NY US 3100.0 
Bodell Overcash Anderson & Co., Inc. Jamestown NY US 24.5 
Brighton Securities Corporation. Rochester NY US 174.4 
Buckram Securities Limited Glen Cove NY US 34.4 
Cadaret Grant & Co Inc Syracuse NY US 3576.1 
Cirrus Research, LLC Tarrytown NY US 0.0 
Citi Private Advisory, LLC New York NY US 7623.0 
Citigroup Global Markets Inc. New York NY US 20231.0 
Core Alpha, Inc. Rochester NY US 36.5 
Corinthian Partners Asset Management LLC New York NY US 0.0 
Cowen Prime Advisors New York NY US 299.5 
Credit Suisse Securities usa LLC New York NY US 168.3 
Darcy & Co., Inc. Syracuse NY US 0.0 
Deutsche Bank Securities Inc. New York NY US 201.5 
E. Magnus Oppenheim & Co. Inc. New York NY US 43.8 
Emerging Managers Group, L.P. New York NY US 100.0 
Excel Securities & Associates,Inc. Rochester NY US 165.0 
First Manhattan Co New York NY US 20476.5 
Gagnon Securities, LLC New York NY US 186.2 
Gilder Gagnon Howe & Co. LLC New York NY US 6722.3 
Gilford Financial Corporation. New York NY US 80.7 
Gladowsky Capital Management Corporation Smithtown NY US 109.6 
Goldman Sachs & Co. LLC New York NY US 198821.5 
Hanys Benefit Service Rensselaer NY US 1948.5 
Hsbc Securities usa Inc. New York NY US 2974.1 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY US 78.0 
Ibn Financial Service, Inc Liverpool NY US 26.7 
Ingalls & Snyder LLC New York NY US 2605.2 
Instinet, LLC New York NY US 0.0 
J.h. Darbie & Co., Inc. New York NY US 0.0 
J.p. Morgan Securities LLC New York NY US 81561.7 
Jmg Securities, LLC New York NY US 0.0 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Joseph Gunnar & Co., LLC New York NY US 5.4 
Joseph Stone Wealth Management LLC Mineola NY US 0.0 
Jsk Associates Inc. White Plains NY US 51.3 
Kimelman & Baird, LLC New York NY US 788.5 
Leigh Baldwin & Co., LLC Cazenovia NY US 20.4 
Lesko Securities, Inc. Binghamton NY US 47.8 
Leumi Investment Service Inc. New York NY US 0.0 
Levy, Harkins & Co., Inc. New York NY US 278.4 
Lifemark Securities Corporation. Rochester NY US 39.4 
Loeb Partners Corporation New York NY US 381.1 
M&t Securities, Inc. Buffalo NY US 0.0 
M. Griffith Investment Service, Inc. New Hartford NY US 1262.0 
Marwood Group New York NY US 0.0 
Marwood Group Research LLC New York NY US 0.0 
Mbsc Securities Corporation New York NY US 1320.6 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY US 639574.2 
Metlife Securities Inc. New York NY US 13803.7 
Mirae Asset Securities usa Inc. New York NY US 0.0 
Mma Securities LLC New York NY US 0.0 
Mmc Securities LLC New York NY US 0.0 
Monarch Capital Group, LLC New York NY US 0.0 
Morgan Stanley Purchase NY US 598502.7 
Mortgage INDS Advisory Company New York NY US 12400.0 
Mutual Of America Life Insurance Company New York NY US 881.0 
Needham & Company, LLC New York NY US 0.0 
Neuberger Berman Bd LLC New York NY US 0.0 
Ngc Financial, LLC Bayside NY US 0.1 
Niagara International Capital Limited Clarence NY US 5.1 
Nomura Securities International, Inc. New York NY US 0.0 
North Ridge Securities Corporation. Melville NY US 192.0 
Northeast Asset Management, Inc. Mitchel Field NY US 110.3 
Olstein Capital Management, L.P. Purchase NY US 833.5 
Oppenheimer & Co. Inc. New York NY US 9642.1 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 81.0 
Park Avenue Securities LLC New York NY US 2820.6 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
Pinnacle Advisors LLC Syracuse NY US 1.7 
Pinnacle Investments, LLC Syracuse NY US 339.4 
Principled Advisors, Inc. Staten Island NY US 0.0 
Quint Capital Management New York NY US 12.4 
R & R Financial Planners, Inc. East Meadow NY US 17.1 
R. F. Lafferty & Co., Inc. New York NY US 61.5 
R.w.pressprich & Co. New York NY US 0.0 
Raphael Aryeh And Associates Flushing NY US 4.4 
Rbc Capital Markets, LLC New York NY US 81781.5 
Revere Wealth Management LLC New York NY US 99.7 
Sage, Rutty & Co., Inc. Rochester NY US 855.1 
Sanford C. Bernstein & Co., LLC New York NY US 7931.6 
Santander Investment Securities Inc. New York NY US 702.1 
Saperston Asset Management, Inc. Hamburg NY US 154.5 
Seaport Asset Management, LLC New York City NY US 0.0 
Signature Securities Group Corporation. New York NY US 432.6 
Sovereign Global Advisors, LLC Melville NY US 0.0 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Taglich Brothers, Inc. Huntington NY US 101.3 
Td Private Client Wealth LLC New York NY US 1789.3 
Tessera Capital Partners, LLC Penfield NY US 0.0 
Trg Advisors, Inc. Amherst NY US 241.3 
Trubee, Collins & Co., Inc. Buffalo NY US 228.3 
Wellington Shields & Co., LLC New York NY US 278.5 
Willis Securities, Inc. New York NY US 0.0 
Wilmington Capital Securities, LLC Garden City NY US 52.7 
           
 
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: www.adviserinfo.sec.gov

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