broker dealer firms Powered By Private Equity Info 
Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
download Private Equity Firms
Sorted by industry and
acquisition criteria.
Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Airacobra Capital Management, LLC Plano TX US 0.0 
Associate Equity Group Irving TX US 0.0 
Bft Financial Group, LLC Bedford TX US 362.9 
Bley Investment Group, Inc. Fort Worth TX US 0.0 
Brazos Securities, Inc. Dallas TX US 4.4 
Dale Buckner, Inc. Amarillo TX US 109.6 
First Dallas Securities, Inc. Dallas TX US 162.3 
First Financial Securities Of America, Inc. Houston TX US 0.0 
First Western Securities, Inc. Hurst TX US 25.0 
Fsw Advisory Service Inc. Dallas TX US 17.0 
Herndon Plant Oakley Limited Corpus Christi TX US 59.1 
Hilltop Securities Inc. Dallas TX US 918.1 
Hilltop Securities Independent Network Inc. Dallas TX US 279.5 
Huckin Financial Group, Inc. Houston TX US 34.7 
Independent Investment Bankers Corporation. Austin TX US 0.0 
Investment Professionals, Inc. San Antonio TX US 621.7 
Investors Brokerage Of Texas, Limited. Waco TX US 23.0 
Lowell Wealth Management Lubbock TX US 41.3 
M. E. Allison & Co., Inc. San Antonio TX US 9.7 
Mcnally Financial Service Corporation San Antonio TX US 10.1 
Netherland Securities, Inc. Dallas TX US 10.0 
Nexbank Wealth Advisors Dallas TX US 0.0 
Next Financial Group, Inc. Houston TX US 1649.7 
Nfp Advisor Service, LLC Austin TX US 12254.0 
Prospera Financial Service, Inc. Dallas TX US 1666.4 
Sanders Morris Harris LLC Houston TX US 117.3 
Signal Securities, Inc. Fort Worth TX US 282.9 
Sizemore Capital Management, LLC Dallas TX US 37.1 
Stanford Group Company Houston TX US 3051.5 
Sunbelt Securities Houston TX US 175.9 
Swbc Investment Company San Antonio TX US 122.1 
The Fig Group, LLC Dallas TX US 0.0 
Thornhill Securities, Inc. Austin TX US 75.7 
Titan Securities Dallas TX US 0.0 
Titleist Asset Management, Limited. San Antonio TX US 280.0 
Usaa Investment Management Company San Antonio TX US 25236.4 
Valic Financial Advisors, Inc. Houston TX US 24744.9 
Waterford Capital Investment Advisory Service LLC Addison TX US 105.0 
World Choice Securities, Inc. Bedford TX US 9.0 
Worth Financial Group Inc. Dallas TX US 12.1 
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:

Find a Registered Broker-Dealer
Search the directory using either:
  • Search broker-dealers alphabetically
  • Search broker-dealers by state
  • Search broker-dealers by assets under management
Download Broker-Dealer Firms
To order a download-to-Excel file of broker-dealer firms, visit

Other Relevant Information
Search SEC-registered hedge funds: Search Registered Investment Advisors (RIAs):

This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.

No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.

Home | Download Data | Links | Contact Us

©2011- PEI Services Ltd. All Rights Reserved. Terms and Conditions