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Firm Name City State Country Assets ($M) 
A. R. Schmeidler & Co., Inc. New York NY US 747.4 
Accrued Equities Inc. Melville NY US 179.1 
Advice And Planning Service New York NY US 16791.7 
Aegis Capital Corporation. New York NY US 326.6 
Ajf Financial Service, Inc. New York NY US 49.6 
Alphasource Advisors LLC New York NY US 6.8 
Andrew Garrett, Inc. New York NY US 39.0 
Axa Advisors, LLC New York NY US 9866.7 
Banorte Asset Management Inc New York NY US 181.6 
Barclays Capital Inc. New York NY US 12750.2 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Belle Haven Investments, L.P. Rye Brook NY US 4157.6 
Benjamin Securities, Inc. Hauppauge NY US 33.0 
Bishop, Rosen & Co., Inc. New York NY US 28.9 
Bmo Capital Markets Corporation. New York NY US 4000.0 
Bodell Overcash Anderson & Co., Inc. Jamestown NY US 23.9 
Brighton Securities Corporation. Rochester NY US 115.5 
Brill Securities, Inc. New York NY US 0.0 
Brown Financial Management Group Latham NY US 36.4 
Burnham Securities Inc. New York NY US 91.3 
Cadaret Grant & Co Inc Syracuse NY US 3474.6 
Chapin Hill Advisors Pound Ridge NY US 0.0 
Cirrus Research, LLC Tarrytown NY US 0.0 
Citigroup Global Markets Inc. New York NY US 22285.3 
Constellation Wealth Advisors LLC New York NY US 6180.6 
Convergex Execution Solutions LLC New York NY US 0.0 
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 286.4 
Credit Suisse Securities usa LLC New York NY US 135.3 
Darcy & Co., Inc. Syracuse NY US 16.1 
Deutsche Bank Securities Inc. New York NY US 5523.9 
Dominick & Dominick LLC New York NY US 371.7 
E. Magnus Oppenheim & Co. Inc. New York NY US 40.0 
Edna Advisors, LLC Albany NY US 0.0 
Elara Capital, Inc. New York NY US 0.0 
Emerging Managers Group, L.P. New York NY US 100.0 
Excel Securities & Associates,Inc. Rochester NY US 163.0 
First Manhattan Co New York NY US 19924.5 
Forefront Capital Markets LLC New York NY US 41.6 
Gagnon Securities, LLC New York NY US 191.9 
Gerstein Fisher New York NY US 1916.6 
Gilder Gagnon Howe & Co. LLC New York NY US 5342.1 
Gilford Financial Corporation. New York NY US 80.7 
Gladowsky Capital Management Corporation Smithtown NY US 90.8 
Goldman, Sachs & Co. New York NY US 165045.2 
Hamilton Cavanaugh & Associates, Inc. North White Plains NY US 2.1 
Hanys Benefit Service Rensselaer NY US 2227.3 
Hsbc Securities (usa) Inc. New York NY US 2984.9 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY US 97.6 
Ibn Financial Service, Inc Liverpool NY US 26.7 
Ingalls & Snyder LLC New York NY US 2596.5 
J.h. Darbie & Co., Inc. New York NY US 0.0 
J.p. Morgan Clearing Corporation. New York NY US 0.0 
J.p. Morgan Institutional Investments New York NY US 13584.6 
J.p. Morgan Securities LLC New York NY US 70743.2 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Joseph Gunnar & Co., LLC New York NY US 5.2 
Jsk Associates Inc. White Plains NY US 55.3 
Kimelman & Baird, LLC New York NY US 722.5 
Leigh Baldwin & Co., LLC Cazenovia NY US 11.6 
Lesko Securities, Inc. Binghamton NY US 1.4 
Leumi Investment Service Inc. New York NY US 0.0 
Levy, Harkins & Co., Inc. New York NY US 214.3 
Lifemark Securities Corporation. Rochester NY US 32.6 
Loeb Partners Corporation New York NY US 360.3 
M&t Securities, Inc. Buffalo NY US 0.0 
M. Griffith Investment Service, Inc. New Hartford NY US 1140.6 
Marwood Group New York NY US 0.0 
Marwood Group Research LLC New York NY US 0.0 
Matrix Capital Group New York NY US 30.0 
Mbsc Securities Corporation New York NY US 1354.2 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY US 575341.6 
Mma Securities LLC New York NY US 0.0 
Mmc Securities LLC New York NY US 0.0 
Morgan Stanley Purchase NY US 535890.1 
Mortgage INDS Advisory Company New York NY US 30.0 
Mutual Of America Life Insurance Company New York NY US 826.1 
Natixis Securities Americas LLC New York NY US 57.5 
Needham & Company, LLC New York NY US 0.0 
Neuberger Berman LLC New York NY US 52626.4 
Neuberger Berman Management LLC New York NY US 53540.1 
New Horizons Asset Management Group, LLC Newburgh NY US 8.0 
Newport Coast Asset Management New York NY US 79.0 
Ngc Financial, LLC Bayside NY US 0.1 
Nomura Securities International, Inc. New York NY US 0.0 
North Nassau Advisors, LLC Syosset NY US 15.0 
North Ridge Securities Corporation. Melville NY US 14.7 
Northeast Asset Management, Inc. Mitchel Field NY US 346.8 
Olstein Capital Management, L.P. Purchase NY US 815.7 
Oneida Wealth Management, Inc. Syracuse NY US 60.6 
Oppenheimer & Co. Inc. New York NY US 9080.3 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 81.7 
Park Avenue Securities LLC New York NY US 6646.1 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
Pinnacle Advisors LLC Syracuse NY US 1.7 
Pinnacle Investments, LLC Syracuse NY US 331.3 
Portia Advisors, LLC Albany NY US 0.0 
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 23.9 
R. F. Lafferty & Co., Inc. New York NY US 33.0 
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 76273.8 
Royal Alliance Associates, Inc. New York NY US 4629.2 
S C Parker & Co Investment Advisor Service Williamsville NY US 10.0 
Sage, Rutty & Co., Inc. Rochester NY US 714.4 
Sanford C. Bernstein & Co., LLC New York NY US 7232.9 
Santander Investment Securities Inc. New York NY US 877.9 
Saperston Asset Management, Inc. Hamburg NY US 154.2 
Signature Securities Group Corporation. New York NY US 355.7 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Taglich Brothers, Inc. Huntington NY US 113.7 
Td Private Client Wealth LLC New York NY US 1060.6 
Trg Advisors, Inc. Amherst NY US 213.7 
Trubee, Collins & Co., Inc. Buffalo NY US 211.0 
Wall Street Financial Group, Inc Fairport NY US 448.3 
Wallis Advisors, LLC Albany NY US 0.0 
Wellington Shields & Co., LLC New York NY US 218.7 
Willis Securities, Inc. New York NY US 0.0 
Wilmington Capital Securities, LLC Garden City NY US 47.1 
           
 
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: www.adviserinfo.sec.gov

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