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Firm Name City State Country Assets ($M) 
A. R. Schmeidler & Co., Inc. New York NY US 1248.1 
Accrued Equities Inc. Melville NY US 175.1 
Alphasource Advisors LLC New York NY US 16.8 
Andrew Garrett, Inc. New York NY US 38.3 
Axa Advisors, LLC New York NY US 8436.4 
Banorte Asset Management Inc New York NY US 181.6 
Barclays Capital Inc. New York NY US 12996.6 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Benjamin Securities, Inc. Hauppauge NY US 34.8 
Bishop, Rosen & Co., Inc. New York NY US 0.0 
Bmo Capital Markets Corporation. New York NY US 3000.0 
Bodell Overcash Anderson & Co., Inc. Jamestown NY US 24.5 
Brighton Securities Corporation. Rochester NY US 75.2 
Brill Securities, Inc. New York NY US 0.0 
Burnham Securities Inc New York NY US 98.0 
Cadaret Grant & Co Inc Syracuse NY US 2919.0 
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 29992.7 
Concept Asset Management Garden City NY US 357.4 
Consolidated Portfolio Review Corporation Locust Valley NY US 169.4 
Constellation Wealth Advisors LLC New York NY US 5045.5 
Convergex Execution Solutions LLC New York NY US 0.0 
Core Alpha, Inc. Rochester NY US 37.1 
Corinthian Partners Asset Management LLC New York NY US 0.0 
Credit Suisse Securities (usa) LLC New York NY US 20447.9 
Cutwater Asset Management Armonk NY US 5021.5 
Darcy & Co., Inc. Syracuse NY US 16.6 
Deutsche Bank Securities Inc. New York NY US 6155.3 
Dominick & Dominick LLC New York NY US 371.7 
Du Pasquier Asset Management New York NY US 48.8 
E. Magnus Oppenheim & Co. Inc. New York NY US 44.0 
Emerging Managers Group, L.P. New York NY US 100.0 
Etfis Capital New York NY US 0.1 
Excel Securities & Associates,Inc. Rochester NY US 140.0 
First Manhattan Co New York NY US 20508.5 
Forefront Capital Markets LLC New York NY US 38.0 
Gagnon Securities, LLC New York NY US 353.2 
Gerstein Fisher New York NY US 1698.1 
Gilder Gagnon Howe & Co. LLC New York NY US 6261.4 
Gilford Financial Corporation. New York NY US 62.1 
Gladowsky Capital Management Corporation Smithtown NY US 81.8 
Glickenhaus & Co. New York NY US 1068.8 
Goldman, Sachs & Co. New York NY US 132878.1 
Grail Partners New York NY US 0.0 
Guardian Investor Service LLC New York NY US 6236.5 
Halsey, Stuart & Co. Asset Management, LLC New York NY US 0.0 
Hamilton Cavanaugh & Associates, Inc. North White Plains NY US 2.1 
Hanys Benefit Service Rensselaer NY US 1541.9 
Hsbc Securities (usa) Inc. New York NY US 3139.0 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY US 93.2 
Ibn Financial Service, Inc Liverpool NY US 15.5 
Icp Asset Management LLC New York NY US 4520.6 
Ingalls & Snyder LLC New York NY US 3069.6 
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 57620.3 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Jsk Associates Inc. White Plains NY US 47.6 
Kimelman & Baird, LLC New York NY US 744.3 
Leigh Baldwin & Co., LLC Cazenovia NY US 10.6 
Lesko Securities, Inc. Binghamton NY US 1.5 
Leumi Investment Service Inc. New York NY US 0.0 
Levy, Harkins & Co., Inc. New York NY US 188.7 
Lifemark Securities Corporation. Rochester NY US 17.1 
Loeb Partners Corporation New York NY US 391.0 
M&t Securities, Inc. Buffalo NY US 0.0 
M. Griffith Investment Service, Inc. New Hartford NY US 923.7 
Marwood Group New York NY US 0.0 
Matrix Capital Group New York NY US 543.0 
Mbsc Securities Corporation New York NY US 1330.0 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY US 485505.1 
Metlife Securities Inc. New York NY US 13672.1 
Mmc Securities Corporation. New York NY US 0.0 
Morgan Stanley Purchase NY US 460687.6 
Mutual Of America Life Insurance Company New York NY US 667.0 
Natixis Securities Americas LLC New York NY US 57.5 
Needham & Company, LLC New York NY US 0.0 
Nelkin Capital Management, Inc. Great Neck NY US 73.1 
Neuberger Berman LLC New York NY US 119541.4 
Neuberger Berman Management LLC New York NY US 50813.9 
New England Securities Corporation New York NY US 5326.5 
New Horizons Asset Management Group, LLC Newburgh NY US 8.5 
Newport Coast Asset Management New York NY US 81.4 
Ngc Financial, LLC Bayside NY US 0.2 
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 14.6 
Oneida Wealth Management, Inc. North Syracuse NY US 40.6 
Oppenheimer & Co. Inc. New York NY US 8661.1 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 134.7 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
Pinnacle Advisors LLC Syracuse NY US 2.8 
Pinnacle Investments, LLC Syracuse NY US 181.2 
Principled Advisors, Inc. Staten Island NY US 0.0 
R & R Financial Planners, Inc. East Meadow NY US 19.2 
R. F. Lafferty & Co., Inc. New York NY US 11.0 
R.w.pressprich & Co. New York NY US 0.0 
Raphael Aryeh And Associates Flushing NY US 5.0 
Rbc Capital Markets, LLC New York NY US 67652.1 
Royal Alliance Associates, Inc. New York NY US 3435.7 
S C Parker & Co Investment Advisor Service Williamsville NY US 10.0 
Sage, Rutty & Co., Inc. Rochester NY US 622.9 
Sanford C. Bernstein & Co., LLC New York NY US 0.0 
Santander Investment Securities Inc. New York NY US 523.2 
Saperston Asset Management, Inc. Hamburg NY US 192.1 
Satovsky Asset Management LLC New York NY US 363.4 
Shufro, Rose & Co., LLC New York NY US 1644.0 
Signature Securities Group Corporation. New York NY US 304.8 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Sullivan, Morrissey & Mickle Capital Management Corporation New York NY US 38.2 
Taglich Brothers, Inc. Huntington NY US 111.9 
Td Private Client Wealth LLC New York NY US 102.8 
The Winchester Group, Inc. New York NY US 785.3 
Tiaa-cref Advice And Planning Service New York NY US 10954.0 
Trg Advisors, Inc. Amherst NY US 169.6 
Trubee, Collins & Co., Inc. Buffalo NY US 146.1 
Twenty-first Tailored Solutions, Inc. New York NY US 492.3 
Uas Asset Management New York NY US 201.1 
Wall Street Financial Group, Inc Fairport NY US 453.9 
Wellington Shields & Co., LLC New York NY US 217.1 
Willis Securities, Inc. New York NY US 0.0 
           
 
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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