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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
A. R. Schmeidler & Co., Inc. New York NY US 942.7 
Accrued Equities Inc. Melville NY US 176.2 
Aegis Capital Corporation. New York NY US 259.5 
Agnes Advisors, LLC Albany NY US 0.0 
Ajf Financial Service, Inc. New York NY US 44.5 
Alphasource Advisors LLC New York NY US 16.8 
Andrew Garrett, Inc. New York NY US 43.8 
Axa Advisors, LLC New York NY US 9291.0 
Banorte Asset Management Inc New York NY US 181.6 
Barclays Capital Inc. New York NY US 14077.7 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Belle Haven Investments, L.P. Rye Brook NY US 2557.3 
Benjamin Securities, Inc. Hauppauge NY US 34.8 
Betty Advisors, LLC Albany NY US 0.0 
Bishop, Rosen & Co., Inc. New York NY US 0.0 
Bmo Capital Markets Corporation. New York NY US 3185.4 
Bodell Overcash Anderson & Co., Inc. Jamestown NY US 24.5 
Brighton Securities Corporation. Rochester NY US 103.8 
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 3359.3 
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 18099.2 
Concept Capital Markets, LLC Garden City NY US 352.2 
Consolidated Portfolio Review Corporation Locust Valley NY US 168.6 
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 37.1 
Corinthian Partners Asset Management LLC New York NY US 0.0 
Credit Suisse Securities (usa) LLC New York NY US 29145.1 
Cutwater Asset Management Corporation. New York NY US 976.0 
Darcy & Co., Inc. Syracuse NY US 16.6 
Dawn Advisors, LLC Albany NY US 0.0 
Deutsche Bank Securities Inc. New York NY US 5707.1 
Dominick & Dominick LLC New York NY US 371.7 
Du Pasquier Asset Management New York NY US 48.8 
E Capital Management L.P. New York NY US 4275.5 
E&e Advisors L.P. New York NY US 598.1 
E. Magnus Oppenheim & Co. Inc. New York NY US 44.0 
Edna Advisors, LLC Albany NY US 0.0 
Emerging Managers Group, L.P. New York NY US 100.0 
Etfis Capital LLC New York NY US 95.0 
Excel Securities & Associates,Inc. Rochester NY US 163.0 
Financial Decisions Inc New York NY US 251.3 
First Manhattan Co New York NY US 21517.7 
Forefront Capital Markets LLC New York NY US 41.6 
Gagnon Securities, LLC New York NY US 265.0 
Geovest Advisors Inc Fairport NY US 168.2 
Gerstein, Fisher & Associates, Inc. New York NY US 1835.8 
Gilder Gagnon Howe & Co. LLC New York NY US 5495.4 
Gilford Financial Corporation. New York NY US 80.7 
Gladowsky Capital Management Corporation Smithtown NY US 91.3 
Glickenhaus & Co. New York NY US 1068.8 
Goldman, Sachs & Co. New York NY US 146553.0 
Grail Partners LLC New York NY US 0.0 
Guardian Investor Service LLC New York NY US 4852.7 
Halsey, Stuart & Co. Asset Management, LLC New York NY US 0.0 
Hamilton Cavanaugh & Associates, Inc. North White Plains NY US 2.1 
Harriet Advisors, LLC Albany NY US 0.0 
Healthcare Community Securities Corporation Rensselaer NY US 1839.4 
Hsbc Securities usa Inc. New York NY US 3001.8 
Ibn Financial Service, Inc Liverpool NY US 15.5 
Ingalls & Snyder LLC New York NY US 3069.6 
Irene Advisors, LLC Albany NY US 0.0 
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 69357.5 
Jeffery Asset Management LLC New York NY US 144.0 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Joseph Gunnar & Co., LLC New York NY US 5.2 
Kimelman & Baird, LLC New York NY US 762.3 
Krane Funds Advisors, LLC New York NY US 157.0 
Leigh Baldwin & Co., LLC Cazenovia NY US 10.8 
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 216.3 
Lifemark Securities Corporation. Rochester NY US 23.5 
Loeb Partners Corporation New York NY US 405.1 
M&t Securities, Inc. Buffalo NY US 0.0 
M. Griffith Investment Service, Inc. New Hartford NY US 1012.7 
Marwood Group New York NY US 0.0 
Matrix Capital Group, Inc. New York NY US 745.0 
Mbsc Securities Corporation New York NY US 1251.0 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY US 560738.6 
Metlife Securities Inc. New York NY US 13672.1 
Metropolitan Equity Partners LLC New York NY US 87.4 
Minichmacgregor Wealth Management, LLC Saratoga Springs NY US 157.8 
Mmc Securities Corporation. New York NY US 0.0 
Morgan Stanley Smith Barney LLC Purchase NY US 528242.8 
Mutual Of America Life Insurance Company New York NY US 873.0 
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 122112.9 
Neuberger Berman Management LLC New York NY US 53540.1 
New England Securities Corporation New York NY US 5326.5 
New Horizons Asset Management Group, LLC Newburgh NY US 8.5 
Newport Coast Securities, Inc. New York NY US 79.0 
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 
Olstein Capital Management, L.P. Purchase NY US 913.4 
Oneida Wealth Management, Inc. Syracuse NY US 46.9 
Oppenheimer & Co. Inc. New York NY US 9424.5 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 117.7 
Park Avenue Securities LLC New York NY US 6063.2 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
Pinnacle Investments, LLC Syracuse NY US 221.6 
Portia Advisors, LLC Albany 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 
Radix Organization, Inc. New York NY US 80.0 
Raphael Aryeh And Associates Flushing NY US 5.0 
Rbc Capital Markets, LLC New York NY US 74619.3 
Ritholtz Wealth Management New York NY US 160.0 
Royal Alliance Associates, Inc. New York NY US 3902.9 
S C Parker & Co Investment Advisor Service Williamsville NY US 10.0 
Sage, Rutty & Co., Inc. Rochester NY US 712.9 
Sanford C. Bernstein & Co., LLC New York NY US 3010.4 
Santander Investment Securities Inc. New York NY US 555.9 
Saperston Asset Management, Inc. Hamburg NY US 202.7 
Satovsky Asset Management LLC New York NY US 420.6 
Shufro, Rose & Co., LLC New York NY US 1732.0 
Shulman Demeo Asset Management, LLC Lake Success NY US 323.5 
Signature Securities Group Corporation New York NY US 349.9 
Spears Abacus Advisors LLC New York NY US 1226.4 
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 108.8 
Td Private Client Wealth LLC New York NY US 547.4 
Terese Advisors, LLC Albany NY US 0.0 
The Winchester Group, Inc. New York NY US 785.3 
Tiaa-cref Individual & Institutional Service, LLC New York NY US 14666.0 
Total Financial Advisors, LLC Bethpage NY US 178.3 
Trg Advisors, Inc. Amherst NY US 199.9 
Trubee, Collins & Co., Inc. Buffalo NY US 200.4 
True North Partners LLC Suffern NY US 696.2 
Twenty-first Tailored Solutions, Inc. New York NY US 616.8 
Verna Advisors, LLC Albany NY US 0.0 
Wall Street Financial Group, Inc. Fairport NY US 432.0 
Wallis Advisors, LLC Albany NY US 0.0 
Waterford Advisors, LLC Williamsville NY US 122.3 
Wellington Shields & Co., LLC New York NY US 246.9 
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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