| MSRB
Number |
Company
Name |
State |
Registrant Type |
|
A5255
|
ConvergEx Execution Solutions LLC
|
NY
|
Broker Dealer
|
|
A4779
|
1st Discount Brokerage, Inc.
|
FL
|
Broker Dealer
|
|
A4432
|
1st Global Capital Corp
|
TX
|
Broker Dealer
|
|
A6607
|
1st Worldwide Financial Partners, LLC
|
GA
|
Broker Dealer
|
|
A4892
|
A. BRIDGE - Realvest Securities Corp.
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A6373
|
A.P. Securities, Inc.
|
NY
|
Broker Dealer
|
|
A4327
|
Abacus International Capital
|
NY
|
Broker Dealer
|
|
A4454
|
Abacus Investments, Inc.
|
WI
|
Broker Dealer
|
|
A3048
|
Abel/Noser Corp.
|
NY
|
Broker Dealer
|
|
A0005
|
Abner, Herrman & Brock, LLC
|
NJ
|
Broker Dealer
|
|
A6717
|
Abramson Financial, LLC
|
NJ
|
Broker Dealer
|
|
A6224
|
ACA/Prudent Investors Planning Corporation
|
NJ
|
Broker Dealer
|
|
A3858
|
Academy Securities, Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A4335
|
Access Financial Group, Inc.
|
IL
|
Broker Dealer
|
|
A5363
|
ACGM, Inc.
|
NY
|
Broker Dealer
|
|
A6746
|
ACP Securities, LLC
|
FL
|
Broker Dealer
|
|
A7076
|
Actinver Securities, Inc.
|
TX
|
Broker Dealer
|
|
A5605
|
Adirondack Trading Group LLC
|
NY
|
Broker Dealer
|
|
A6131
|
Advance Capital Services, Inc.
|
MI
|
Broker Dealer
|
|
A6783
|
Advanced Advisor Group,LLC
|
MN
|
Broker Dealer
|
|
A6855
|
Advantage Securities LLC
|
IL
|
Broker Dealer
|
|
A5434
|
Advisors Asset Management, Inc.
|
CO
|
Broker Dealer
|
|
A6867
|
Advisors Clearing Network, Inc.
|
CA
|
Broker Dealer
|
|
A5235
|
Advisory Group Equity Svcs Ltd
|
MA
|
Broker Dealer
|
|
A7122
|
Advoca Securities, LLC
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A3490
|
Aegis Capital Corp.
|
NY
|
Broker Dealer
|
|
A2999
|
Aegis Investments, Inc.
|
MN
|
Broker Dealer
|
|
A6044
|
Affinity Investment Services
|
NJ
|
Broker Dealer
|
|
A4951
|
AG BD LLC
|
NY
|
Broker Dealer
|
|
A7017
|
Agency Trading Group, Inc.
|
MN
|
Broker Dealer
|
|
A7015
|
AK Capital LLC
|
NY
|
Broker Dealer
|
|
A3686
|
Alamo Capital
|
CA
|
Broker Dealer
|
|
A0538
|
Albert Fried & Co.
|
NY
|
Broker Dealer
|
|
A4524
|
Alerus Securities
|
ND
|
Broker Dealer
|
|
A5312
|
Aletheia Securities, Inc.
|
CA
|
Broker Dealer
|
|
A6968
|
Alexander Capital, L.P.
|
NY
|
Broker Dealer
|
|
A6379
|
Alexander Investment Services Co.
|
KY
|
Broker Dealer
|
|
A0022
|
Allegheny Investments, Ltd.
|
PA
|
Broker Dealer
|
|
A5754
|
Allegiance Capital, LLC, DBA Richard Brothers, Financial Advisors
|
ME
|
Broker Dealer
|
|
A0024
|
Allen & Company LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A0025
|
Allen & Company of Florida,Inc
|
FL
|
Broker Dealer
|
|
A6805
|
Allen, Mooney & Barnes Brokerage Srvs, LLC
|
GA
|
Broker Dealer
|
|
A3906
|
Alliance Financial Group, Inc.
|
TX
|
Broker Dealer
|
|
A5694
|
AllianceBernstein Investments, Inc.
|
NY
|
Broker Dealer
|
|
A0166
|
Alliant Securities Inc.
|
WA
|
Broker Dealer
|
|
A5968
|
Allianz Global Investors Distributors LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A3439
|
Allied Asset Management, Inc.
|
WA
|
Broker Dealer
|
|
A6539
|
Allied Beacon Partners, Inc.
|
VA
|
Broker Dealer
|
|
A0029
|
Allison-Williams Company
|
MN
|
Broker Dealer
|
|
A5706
|
Allstate Financial Svcs., LLC
|
NE
|
Broker Dealer
|
|
A6857
|
Alluvion Securities, LLC
|
TN
|
Broker Dealer/Municipal Advisor
|
|
B0502
|
AloStar Bank of Commerce
|
AL
|
Bank Dealer
|
|
A4840
|
Alton Securities Group
|
IL
|
Broker Dealer
|
|
A6833
|
Ambassador Financial Group, Inc.
|
PA
|
Broker Dealer
|
|
A6174
|
Amegy Investments, Inc
|
TX
|
Broker Dealer
|
|
A7085
|
America's Choice Equities, LLC
|
FL
|
Broker Dealer
|
|
A7275
|
AmericaFirst Securities Inc.
|
CA
|
Broker Dealer
|
|
A6006
|
American Capital Partners, LLC
|
NY
|
Broker Dealer
|
|
A6158
|
American Century Investment Services, Inc.
|
MO
|
Broker Dealer
|
|
A5618
|
American Diversified Fin'l Grp
|
IN
|
Broker Dealer
|
|
A3666
|
American Enterprise Invest.Ser
|
MN
|
Broker Dealer
|
|
A7079
|
American Equity Investment Corporation
|
IN
|
Broker Dealer
|
|
A6233
|
American Financial Associates, Inc.
|
PA
|
Broker Dealer
|
|
A6327
|
American Financial Securities, Inc.
|
IA
|
Broker Dealer
|
|
A5979
|
American Fund Distributors, Inc.
|
CA
|
Broker Dealer
|
|
A4167
|
American Heritage Secs., Inc.
|
OH
|
Broker Dealer
|
|
A6672
|
American Independent Securities Grp,LLC
|
ID
|
Broker Dealer
|
|
A0036
|
American Investors Company
|
CA
|
Broker Dealer
|
|
A0039
|
American Municipal Securities Inc.
|
FL
|
Broker Dealer/Municipal Advisor
|
|
A1817
|
American Network Securities
|
AZ
|
Broker Dealer
|
|
A4944
|
American Portfolios Financial Services, Inc.
|
NY
|
Broker Dealer
|
|
A6446
|
American Trust Investment Services
|
IN
|
Broker Dealer
|
|
A3901
|
American Wealth Management Inc
|
GA
|
Broker Dealer
|
|
A2663
|
Ameriprise Financial Services, Inc.
|
MN
|
Broker Dealer/Municipal Advisor
|
|
A2110
|
Ameritas Investment Corp.
|
NE
|
Broker Dealer/Municipal Advisor
|
|
A4215
|
Amherst Securities Group, L.P.
|
TX
|
Broker Dealer
|
|
A6521
|
Anchor Bay Securities, LLC
|
CA
|
Broker Dealer
|
|
A2238
|
Ancora Securities, Inc.
|
OH
|
Broker Dealer
|
|
A6670
|
Andes Capital Group, LLC
|
IL
|
Broker Dealer
|
|
A4131
|
Andrew Garrett Inc.
|
NY
|
Broker Dealer
|
|
A6646
|
Anovest Financial Services, Inc.
|
GA
|
Broker Dealer
|
|
A6138
|
Aon Benfield Securities, Inc.
|
IL
|
Broker Dealer
|
|
A6577
|
AOS, Inc.
|
IL
|
Broker Dealer
|
|
A5171
|
APB Financial Group, LLC
|
NY
|
Broker Dealer
|
|
A7272
|
Apex Clearing Corporation
|
TX
|
Broker Dealer
|
|
A1264
|
AR Schmeidler & Co., Inc.
|
NY
|
Broker Dealer
|
|
A7075
|
Arbor Research & Trading, LLC
|
IL
|
Broker Dealer
|
|
A7133
|
ARCA Capital Investments, Inc.
|
FL
|
Broker Dealer
|
|
A6182
|
Ardour Capital Investments, LLC
|
NY
|
Broker Dealer
|
|
A6910
|
Arete Wealth Management, LLC
|
IL
|
Broker Dealer
|
|
A6853
|
Arjent Services
|
NY
|
Broker Dealer
|
|
A5294
|
Arlington Securities Inc.
|
MO
|
Broker Dealer
|
|
A2810
|
ArMA Financial Services Inc.
|
AZ
|
Broker Dealer
|
|
A6770
|
Arque Capital, Ltd.
|
AZ
|
Broker Dealer
|
|
A0758
|
Arthur W Wood Company
|
MA
|
Broker Dealer
|
|
A5030
|
Arvest Asset Management
|
AR
|
Broker Dealer
|
|
A4307
|
Asia Pacific Financial Management Group, Inc.
|
GU
|
Broker Dealer
|
|
A7207
|
Aspen Equity Partners, LLC.
|
TX
|
Broker Dealer
|
|
A4282
|
Associated Bond Brokers, Inc.
|
TX
|
Broker Dealer
|
|
A0277
|
Associated Investment Services
|
WI
|
Broker Dealer
|
|
A6984
|
ATIS, Inc.
|
IN
|
Broker Dealer
|
|
A7231
|
Auriga USA, LLC
|
NY
|
Broker Dealer
|
|
A5380
|
Aurora Capital LLC
|
NY
|
Broker Dealer
|
|
A7175
|
Aurora Securities
|
IN
|
Broker Dealer
|
|
A0069
|
Ausdal Financial Partners, Inc.
|
IA
|
Broker Dealer
|
|
A6215
|
Avalon Investment & Securities Group, Inc.
|
AL
|
Broker Dealer
|
|
A7184
|
Avatar Capital Group LLC
|
NY
|
Broker Dealer
|
|
A7193
|
Avenir Financial Group, Inc.
|
NY
|
Broker Dealer
|
|
A6808
|
Aventura Securities, LLC
|
FL
|
Broker Dealer
|
|
A6362
|
Avisen Securities, Inc.
|
CA
|
Broker Dealer
|
|
A6194
|
AVM, L.P.
|
FL
|
Broker Dealer
|
|
A6722
|
Avondale Partners, LLC
|
TN
|
Broker Dealer/Municipal Advisor
|
|
A2690
|
AXA Advisors LLC.
|
NY
|
Broker Dealer
|
|
A3696
|
Axiom Capital Management, Inc.
|
NY
|
Broker Dealer
|
|
A5198
|
Ayre Investments, Inc.
|
MA
|
Broker Dealer
|
|
A5498
|
B. B. Graham & Co., Inc.
|
CA
|
Broker Dealer
|
|
A0072
|
Bacher & Co.
|
FL
|
Broker Dealer
|
|
A6298
|
Backstrom McCarley Berry & Co., LLC
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A0080
|
Baird, Patrick & Co., Inc.
|
NJ
|
Broker Dealer
|
|
A0082
|
Baker & Co., Incorporated
|
OH
|
Broker Dealer
|
|
A6069
|
Baker Tilly Capital, LLC
|
WI
|
Broker Dealer
|
|
A4301
|
Ballew Investments, Inc.
|
MS
|
Broker Dealer
|
|
A6689
|
BancorpSouth Investment Services, Inc.
|
MS
|
Broker Dealer
|
|
A5394
|
BancWest Investment Svcs. Inc.
|
NE
|
Broker Dealer
|
|
B0019
|
Bank of America, NA
|
NC
|
Bank Dealer
|
|
B0027
|
Bank of Oklahoma, N.A.
|
OK
|
Bank Dealer
|
|
B0467
|
Bank of the West
|
CA
|
Bank Dealer
|
|
A0089
|
Bankers & Investors Co.
|
KS
|
Broker Dealer
|
|
B0368
|
Bankers' Bank Investment Dept.
|
WI
|
Bank Dealer
|
|
A3988
|
Bankoh Investment Services, Inc.
|
HI
|
Broker Dealer
|
|
A6604
|
Banorte-Ixe Securities International Ltd.
|
NY
|
Broker Dealer
|
|
A7109
|
Barclay Investments, Inc
|
NY
|
Broker Dealer
|
|
A6566
|
Barclays Capital Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A0097
|
Barrett & Company
|
RI
|
Broker Dealer
|
|
A6395
|
Barrington Research Associates, Inc.
|
IL
|
Broker Dealer
|
|
A6121
|
Bates Securities, Inc.
|
IL
|
Broker Dealer
|
|
A6589
|
Bay Mutual Financial, LLC
|
CA
|
Broker Dealer
|
|
A4350
|
BB & T Investment Services,Inc
|
NC
|
Broker Dealer
|
|
A6823
|
BB&T Securities, LLC
|
VA
|
Broker Dealer/Municipal Advisor
|
|
A4907
|
BBVA Compass Investment Solutions, Inc.
|
AL
|
Broker Dealer
|
|
A7035
|
BBVA Securities Inc.
|
NY
|
Broker Dealer
|
|
A4850
|
BBVA Securities of Puerto Rico, Inc.
|
PR
|
Broker Dealer
|
|
B0469
|
BBVAPR Division de Valores Municipales
|
PR
|
Bank Dealer
|
|
A0775
|
BC Ziegler and Company
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A0085
|
BCG Securities, Inc.
|
NJ
|
Broker Dealer
|
|
A1809
|
Beaconsfield Financial Services, Inc.
|
PA
|
Broker Dealer
|
|
A6759
|
Bear Creek Securities, LLC
|
CO
|
Broker Dealer
|
|
A5863
|
Beard Financial Services, Inc
|
OH
|
Broker Dealer
|
|
A4845
|
Bedminster Financial Group,
|
PA
|
Broker Dealer
|
|
A1572
|
BedRok Securities LLC
|
NY
|
Broker Dealer
|
|
A3445
|
Beech Hill Securities
|
NY
|
Broker Dealer
|
|
A4477
|
Beekman Securities, Inc.
|
NY
|
Broker Dealer
|
|
A6669
|
Bel Air Securities LLC
|
CA
|
Broker Dealer
|
|
A3977
|
Belle Haven Investments, LP
|
NY
|
Broker Dealer
|
|
A6574
|
Benchmark Investments, Inc.
|
AR
|
Broker Dealer
|
|
A7242
|
Benchmark Securities LLC
|
NC
|
Broker Dealer
|
|
A6963
|
Benjamin F. Edwards & Company
|
MO
|
Broker Dealer/Municipal Advisor
|
|
A0118
|
Benjamin Securities, Inc.
|
NY
|
Broker Dealer
|
|
A0121
|
Berghoff & Co., Inc.
|
IL
|
Broker Dealer
|
|
A0647
|
Bernard Herold & Co., Inc.
|
NY
|
Broker Dealer
|
|
A2043
|
Bernardi Securities, Inc.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A4714
|
Berry-Shino Securities, Inc.
|
AZ
|
Broker Dealer
|
|
A1765
|
Berthel Fisher & Co.Fin.Serv.
|
IA
|
Broker Dealer
|
|
A4867
|
BestVest Investments, Ltd.
|
PA
|
Broker Dealer
|
|
A6568
|
Beta Capital Management, L.P.
|
FL
|
Broker Dealer
|
|
A1784
|
Bettinger & Leech Financial Co
|
NJ
|
Broker Dealer
|
|
A6253
|
BFT Financial Group, LLC
|
TX
|
Broker Dealer
|
|
A7021
|
BGC Financial, LP
|
NY
|
Broker Dealer
|
|
A6680
|
BHK Securities, LLC
|
AL
|
Broker Dealer
|
|
A4991
|
Bill Few Securities, Inc.
|
PA
|
Broker Dealer
|
|
A6520
|
Biondo Asset Management LLC
|
PA
|
Broker Dealer
|
|
A0133
|
Bishop, Rosen & Co., Inc.
|
NY
|
Broker Dealer
|
|
A7038
|
BlackRock Investments, LLC
|
NY
|
Broker Dealer
|
|
A7227
|
Blackwall Capital Markets, Inc.
|
NY
|
Broker Dealer
|
|
A3616
|
Blakeslee & Blakeslee Inc.
|
CA
|
Broker Dealer
|
|
A6906
|
Blaylock Robert Van, LLC
|
NY
|
Broker Dealer
|
|
A4229
|
Bley Investment Group, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A6518
|
Blue Creek Securities, LLC
|
AL
|
Broker Dealer
|
|
A7103
|
BMA Securities, Inc. dba BMA Securities
|
CA
|
Broker Dealer
|
|
A7261
|
BMO Capital Markets Corp.
|
NY
|
Broker Dealer
|
|
A0593
|
BMO Capital Markets GKST Inc.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
B0190
|
BMO Harris Bank NA.
|
IL
|
Bank Dealer
|
|
A6696
|
BMO Harris Financial Advisors, Inc.
|
IL
|
Broker Dealer
|
|
A6172
|
BNP Paribas Securities Corp
|
NY
|
Broker Dealer
|
|
A4685
|
BNY Mellon Capital Markets, LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A0155
|
Bodell Overcash Anderson & Co.
|
NY
|
Broker Dealer
|
|
A0156
|
Boenning & Scattergood, Inc.
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A7013
|
Bolton Securities
|
MA
|
Broker Dealer
|
|
A5773
|
BondDesk Trading, LLC
|
CA
|
Broker Dealer
|
|
A6885
|
BONDS.com, Inc.
|
NY
|
Broker Dealer
|
|
A7284
|
Bonwick Capital Partners, LLC
|
NY
|
Broker Dealer
|
|
A4700
|
BOSC, Inc.
|
OK
|
Broker Dealer/Municipal Advisor
|
|
A6749
|
Bostonia Global Securities LLC
|
MA
|
Broker Dealer
|
|
A2288
|
BPU Investment Management, Inc.
|
PA
|
Broker Dealer
|
|
A6198
|
Brandis Tallman LLC
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A6398
|
Brandt, Kelly & Simmons Securities, LLC
|
MI
|
Broker Dealer
|
|
A3954
|
Braver Stern Securities LLC
|
NY
|
Broker Dealer
|
|
A6320
|
Braymen, Lambert and Noel Securities, Ltd.
|
TX
|
Broker Dealer
|
|
A6430
|
Brazos Securities, Inc.
|
TX
|
Broker Dealer
|
|
A3814
|
Brean Capital, LLC.
|
NY
|
Broker Dealer
|
|
K0583
|
Bridgeport Partners, LLC
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A0174
|
Brighton Securities Corp.
|
NY
|
Broker Dealer
|
|
A2694
|
Brill Securities, Inc.
|
NY
|
Broker Dealer
|
|
A5343
|
Brinker Cap. Securities, Inc.
|
PA
|
Broker Dealer
|
|
A6731
|
Bristol Financial Services, Inc.
|
NY
|
Broker Dealer
|
|
A3998
|
Broker Dealer Fin. Serv. Corp.
|
IA
|
Broker Dealer
|
|
A6990
|
BrokerageSelect
|
NY
|
Broker Dealer
|
|
A6776
|
Brokers International Financial Services, LLC
|
IA
|
Broker Dealer
|
|
A7229
|
Brookline Securities, LLC
|
AL
|
Broker Dealer
|
|
A2125
|
Brown & Brown Securities, Inc.
|
TX
|
Broker Dealer
|
|
A6164
|
Brown Advisory Securities, LLC
|
MD
|
Broker Dealer
|
|
A0189
|
Brown Associates, Inc.
|
TN
|
Broker Dealer
|
|
A4182
|
Brown, Gibbons, Lang & Co.,Sec
|
OH
|
Broker Dealer
|
|
A0196
|
Brown, Lisle/Cummings, Inc.
|
RI
|
Broker Dealer
|
|
A7236
|
Brownstone Investment Group, LLC
|
NY
|
Broker Dealer
|
|
A5860
|
Bruce A. Lefavi Securities, Inc.
|
UT
|
Broker Dealer
|
|
A7098
|
BTIG LLC
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A7198
|
BTMU Securities, Inc.
|
NY
|
Broker Dealer
|
|
A6127
|
BTS Securities Corporation
|
MA
|
Broker Dealer
|
|
A3317
|
Buckman, Buckman & Reid, Inc.
|
NJ
|
Broker Dealer
|
|
A6410
|
Buckram Securities Ltd.
|
NY
|
Broker Dealer
|
|
A0198
|
Buell Securities Corp.
|
CT
|
Broker Dealer
|
|
A6336
|
Bull & Bear Brokerage Services, Inc.
|
FL
|
Broker Dealer
|
|
A0205
|
Burke, Lawton,Brewer & Burke LLC
|
PA
|
Broker Dealer
|
|
A3573
|
Burnham Securities, Inc.
|
NY
|
Broker Dealer
|
|
A0212
|
Butler Muni LLC
|
CA
|
Broker Dealer
|
|
A3743
|
Buttonwood Partners, Inc.
|
WI
|
Broker Dealer
|
|
A1153
|
C.E. Gaye & Sons Securities LTD
|
NY
|
Broker Dealer
|
|
A6339
|
C.G. Menk & Associates, Inc.
|
MD
|
Broker Dealer
|
|
A6779
|
C.K. Cooper & Company
|
CA
|
Broker Dealer
|
|
A0165
|
CA Botzum & Co.
|
CA
|
Broker Dealer
|
|
A7244
|
Cabot Lodge Securities LLC
|
NY
|
Broker Dealer
|
|
A4470
|
Cabrera Capital Markets, LLC
|
IL
|
Broker Dealer
|
|
A1558
|
Cadaret, Grant & Co., Inc.
|
NY
|
Broker Dealer
|
|
A7256
|
Cadwyn Point Partners, LLC
|
CT
|
Broker Dealer
|
|
A1793
|
Cain Brothers & Co.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5715
|
Caldwell Intn'l Securities Cor
|
TX
|
Broker Dealer
|
|
A7050
|
Caldwell Securities, Incorporated
|
CA
|
Broker Dealer
|
|
A6077
|
Callaway Financial Services, Inc.
|
TX
|
Broker Dealer
|
|
A2912
|
Calton & Associates, Inc.
|
FL
|
Broker Dealer/Municipal Advisor
|
|
A6209
|
Calvert Investment Distributors, Inc.
|
MD
|
Broker Dealer
|
|
A6947
|
Cambria Capital
|
UT
|
Broker Dealer
|
|
A6582
|
Cambridge International Securities, Inc.
|
CT
|
Broker Dealer
|
|
A4785
|
Cambridge Investment Research
|
IA
|
Broker Dealer
|
|
A7262
|
Camden Financial Services
|
CA
|
Broker Dealer
|
|
A0225
|
Cameron, Murphy & Spangler,Inc
|
CA
|
Broker Dealer
|
|
A7287
|
Canaccord Genuity Inc.
|
NY
|
Broker Dealer
|
|
A0230
|
Cantella & Co., Inc.
|
MA
|
Broker Dealer
|
|
A3127
|
Canterbury Consulting Incorporated
|
CA
|
Broker Dealer
|
|
A3664
|
Cantone Research, Inc.
|
NJ
|
Broker Dealer
|
|
A6429
|
Cantor Fitzgerald & Co.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A7178
|
Cape Fear Securities, Inc
|
NC
|
Broker Dealer
|
|
A0232
|
Cape Securities, Inc.
|
GA
|
Broker Dealer
|
|
A6854
|
Capital & Credit International, Inc.
|
FL
|
Broker Dealer
|
|
A6913
|
Capital City Securities, LLC
|
OH
|
Broker Dealer
|
|
A4639
|
Capital Financial Services,Inc
|
ND
|
Broker Dealer
|
|
A6733
|
Capital Guardian, LLC
|
NC
|
Broker Dealer
|
|
A0236
|
Capital Institutional Services, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A5064
|
Capital Investment Brokerage
|
NC
|
Broker Dealer
|
|
A3355
|
Capital Investment Group, Inc.
|
NC
|
Broker Dealer
|
|
A0231
|
Capital Management Securities,
|
MN
|
Broker Dealer
|
|
A3581
|
Capital One Investment Services LLC
|
NY
|
Broker Dealer
|
|
A4008
|
Capital Portfolio Management,
|
MD
|
Broker Dealer
|
|
A7189
|
Capital Research Brokerage Services, LLC
|
CA
|
Broker Dealer
|
|
A1595
|
Capital Securities Investment
|
IL
|
Broker Dealer
|
|
A6979
|
Capital Synergy Partners, Inc.
|
CA
|
Broker Dealer
|
|
A2210
|
Capitol Securities Management, Inc.
|
VA
|
Broker Dealer
|
|
A6212
|
Capnet Securities Corporation
|
TX
|
Broker Dealer
|
|
A0238
|
Caprock Securities, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A6439
|
CapTrust Finanical Advisors
|
NC
|
Broker Dealer
|
|
A6844
|
CapWealth Investment Services
|
TN
|
Broker Dealer
|
|
A4529
|
Cardinal Investments, Inc.
|
IL
|
Broker Dealer
|
|
A4792
|
Carey, Thomas, Hoover, & Breault, Inc.
|
KS
|
Broker Dealer
|
|
A0643
|
Carl M Hennig, Inc.
|
WI
|
Broker Dealer
|
|
A1467
|
Carl P Sherr & Co., LLC
|
MA
|
Broker Dealer
|
|
A4701
|
Carolina Capital Markets
|
NC
|
Broker Dealer
|
|
A4563
|
Carolina Municipal Securities, Inc.
|
SC
|
Broker Dealer/Municipal Advisor
|
|
A5718
|
Carolinas Investment Consulting LLC
|
NC
|
Broker Dealer
|
|
A3116
|
Carter, Terry & Company, Inc.
|
GA
|
Broker Dealer
|
|
A2962
|
Carthage Group, Inc.
|
NY
|
Broker Dealer
|
|
A0251
|
Carty and Company, Inc.
|
TN
|
Broker Dealer
|
|
A6822
|
Cary Street Partners LLC
|
VA
|
Broker Dealer
|
|
A6004
|
Cascade Financial Management, Inc.
|
CO
|
Broker Dealer
|
|
A4434
|
Cascade Investment Grp. Inc.
|
CO
|
Broker Dealer
|
|
A5725
|
Casimir Capital, LP
|
NY
|
Broker Dealer
|
|
A6897
|
CastleOak Securities, LP
|
NY
|
Broker Dealer
|
|
A0266
|
CBG Financial Group
|
FL
|
Broker Dealer
|
|
A2206
|
CBIZ Financial Services, Inc.
|
MD
|
Broker Dealer
|
|
A6724
|
CCF Investments, Inc.
|
GA
|
Broker Dealer
|
|
A7125
|
CCM Securities, LLC
|
NY
|
Broker Dealer
|
|
A4803
|
CCO Investment Services Corp
|
MA
|
Broker Dealer
|
|
A6511
|
Cedar Creek Securities, Inc.
|
WI
|
Broker Dealer
|
|
A4831
|
Celadon Financial Group LLC
|
NJ
|
Broker Dealer
|
|
A5276
|
Centaurus Financial, Inc.
|
CA
|
Broker Dealer
|
|
A0255
|
Centennial Securities Co., Inc
|
MI
|
Broker Dealer
|
|
A6942
|
Center Street Securities, Inc
|
TN
|
Broker Dealer
|
|
A6025
|
Centerprise Capital LLC
|
IL
|
Broker Dealer
|
|
A7119
|
Centerre Capital, LLC
|
MO
|
Broker Dealer
|
|
B0470
|
CenterState Bank of Florida
|
AL
|
Bank Dealer
|
|
A7140
|
Central States Capital Markets, LLC
|
KS
|
Broker Dealer/Municipal Advisor
|
|
B0429
|
Central Trust Bank
|
MO
|
Bank Dealer
|
|
A3914
|
Century Securities Associates
|
MO
|
Broker Dealer
|
|
A7019
|
Ceros Financial Services, Inc.
|
MD
|
Broker Dealer
|
|
A6829
|
CertusSecurities, Inc.
|
GA
|
Broker Dealer/Municipal Advisor
|
|
A2021
|
Cetera Advisor LLC
|
CO
|
Broker Dealer
|
|
A1673
|
Cetera Advisor Networks LLC
|
CA
|
Broker Dealer
|
|
A1898
|
Cetera Financial Specialists LLC
|
IL
|
Broker Dealer
|
|
A2132
|
Cetera Investment Services LLC
|
MN
|
Broker Dealer
|
|
A7096
|
CF Global Trading, LLC
|
NY
|
Broker Dealer
|
|
A5772
|
CFD Investments, Inc.
|
IN
|
Broker Dealer
|
|
A6824
|
CFG Capital Markets, LLC
|
MD
|
Broker Dealer/Municipal Advisor
|
|
A5729
|
CFS Securities, Inc.
|
CT
|
Broker Dealer
|
|
A5719
|
CFT Securities, LLC
|
NJ
|
Broker Dealer
|
|
A6274
|
CG Brokerage L.L.C.
|
WI
|
Broker Dealer
|
|
A7166
|
CGIS SECURITIES LLC
|
FL
|
Broker Dealer
|
|
A3840
|
Chapin, Davis
|
MD
|
Broker Dealer
|
|
A4109
|
Charles Jordan & Co., Inc.
|
NY
|
Broker Dealer
|
|
A1271
|
Charles Schwab & Co., Inc.
|
CA
|
Broker Dealer
|
|
A6303
|
Chatsworth Securities LLC
|
CT
|
Broker Dealer/Municipal Advisor
|
|
A6106
|
Chelsea Financial Services
|
NY
|
Broker Dealer
|
|
A0625
|
Chester Harris and Co., Inc.
|
NY
|
Broker Dealer
|
|
A6485
|
Chickasaw Securities, LLC
|
TN
|
Broker Dealer
|
|
A6760
|
Chrysalis Capital Group, LLC
|
CA
|
Broker Dealer
|
|
A6564
|
CIG Securities
|
MI
|
Broker Dealer
|
|
B0504
|
Citibank, N.A., Municipal Securities Division
|
NY
|
Bank Dealer
|
|
A1487
|
Citigroup Global Markets Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5564
|
City National Securities, Inc.
|
CA
|
Broker Dealer
|
|
A0278
|
City Securities Corporation
|
IN
|
Broker Dealer/Municipal Advisor
|
|
A0836
|
CL King and Associates, Inc.
|
NY
|
Broker Dealer
|
|
A6494
|
Clark Dodge & Company, Inc.
|
NY
|
Broker Dealer
|
|
A6447
|
Clary Investment and Insurance Planning Corp.
|
MA
|
Broker Dealer
|
|
A7259
|
Classic, LLC
|
ND
|
Broker Dealer
|
|
A5207
|
Clayton Lowell & Conger, Inc.
|
NY
|
Broker Dealer
|
|
A7104
|
Clean Energy Capital Securities LLC
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A5426
|
Cleary Gull Inc.
|
WI
|
Broker Dealer
|
|
A7099
|
Client One Securities, LLC
|
KS
|
Broker Dealer
|
|
A6282
|
CliftonLarsonAllen Wealth Advisors, LLC
|
MN
|
Broker Dealer
|
|
A6431
|
CNBS
|
KS
|
Broker Dealer
|
|
A6543
|
CNS Securities, LLC
|
TX
|
Broker Dealer
|
|
A3303
|
Coastal Equities, Inc.
|
OH
|
Broker Dealer
|
|
A3803
|
Coastal Securities Inc
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A0286
|
Coburn & Meredith, Inc.
|
CT
|
Broker Dealer
|
|
A3989
|
Coker & Palmer
|
MS
|
Broker Dealer
|
|
A4202
|
Collins & Company
|
CA
|
Broker Dealer
|
|
A0296
|
Colonial Securities, Inc.
|
NY
|
Broker Dealer
|
|
A6873
|
Colony Park Financial Services, LLC
|
GA
|
Broker Dealer
|
|
A6750
|
Colorado Financial Service Corp.
|
CO
|
Broker Dealer
|
|
A7084
|
Columbia Management Investment Distributors, Inc.
|
MA
|
Broker Dealer
|
|
A2845
|
Comerica Securities, Inc.
|
MI
|
Broker Dealer
|
|
B0069
|
Commerce Bank
|
MO
|
Bank Dealer/Municipal Advisor
|
|
A4039
|
Commerce Brokerage Services, I
|
MO
|
Broker Dealer
|
|
A7204
|
Commerce One Financial Inc.
|
NY
|
Broker Dealer
|
|
A6856
|
Commerce Street Capital, LLC
|
TX
|
Broker Dealer
|
|
A6197
|
Commonwealth Financial Group, Inc.
|
NJ
|
Broker Dealer
|
|
A3246
|
Commonwealth Financial Network
|
MA
|
Broker Dealer
|
|
B0048
|
Compass Bank
|
AL
|
Bank Dealer/Municipal Advisor
|
|
A5503
|
Comprehensive Asset Management
|
NJ
|
Broker Dealer
|
|
A7100
|
Concept Capital Markets, LLC
|
NY
|
Broker Dealer
|
|
A7202
|
Concorde Investment Services LLC
|
MI
|
Broker Dealer
|
|
A5535
|
Condera Securities, LLC
|
TX
|
Broker Dealer
|
|
A7177
|
Conifer Securities, LLC
|
CA
|
Broker Dealer
|
|
A0304
|
Conners & Company, Inc.
|
OH
|
Broker Dealer
|
|
A4062
|
Conover Securities Corporation
|
WA
|
Broker Dealer
|
|
A3188
|
Consolidated Financial Investm
|
MO
|
Broker Dealer
|
|
A6837
|
Constellation Wealth Advisors, LLC
|
NY
|
Broker Dealer
|
|
A5587
|
Consultiva Securities, Inc.
|
PR
|
Broker Dealer
|
|
A4047
|
Continental Investor Services
|
WA
|
Broker Dealer
|
|
A3434
|
Cooper Malone McClain, Inc.
|
KS
|
Broker Dealer/Municipal Advisor
|
|
A3020
|
Coordinated Capital Securities
|
WI
|
Broker Dealer
|
|
A5948
|
COR Clearing, LLC
|
NE
|
Broker Dealer
|
|
A0317
|
Corby Capital Markets, Inc.
|
MA
|
Broker Dealer/Municipal Advisor
|
|
A4916
|
Corinthian Partners, L.L.C.
|
NY
|
Broker Dealer
|
|
A5688
|
Cornerstone Capital Corp.
|
OH
|
Broker Dealer
|
|
A5964
|
Correll Co. Investment Services Corp.
|
IL
|
Broker Dealer
|
|
A5771
|
Cortview Capital Securities LLC
|
VA
|
Broker Dealer
|
|
A0321
|
Cosse'International Securities
|
WA
|
Broker Dealer
|
|
A0323
|
Coughlin & Co., Inc.
|
CO
|
Broker Dealer/Municipal Advisor
|
|
A6755
|
COUNTRY Capital Manangement Company
|
IL
|
Broker Dealer
|
|
B0350
|
Country Club Bank
|
MO
|
Bank Dealer/Municipal Advisor
|
|
A5878
|
Country Club Financial Services, Inc.
|
MO
|
Broker Dealer
|
|
A2704
|
Coventry Capital, Inc.
|
IL
|
Broker Dealer
|
|
A5826
|
CP Capital Securities
|
FL
|
Broker Dealer
|
|
A3238
|
Credit Agricole Securities (USA) Inc.
|
NY
|
Broker Dealer
|
|
A0481
|
Credit Suisse Securities (USA) LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A3600
|
Cresap, Inc.
|
PA
|
Broker Dealer
|
|
A6530
|
Crescent Securities Group, Inc.
|
TX
|
Broker Dealer
|
|
A4177
|
Cressman Esser Securities,Inc.
|
IL
|
Broker Dealer
|
|
A5625
|
Crestone Securities LLC
|
CO
|
Broker Dealer
|
|
A0333
|
Crews & Associates, Inc.
|
AR
|
Broker Dealer/Municipal Advisor
|
|
A3589
|
CRI Securities, LLC
|
MN
|
Broker Dealer
|
|
A0337
|
Cronin & Co., Inc.
|
MN
|
Broker Dealer/Municipal Advisor
|
|
A7026
|
Cross Point Capital LLC
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A0339
|
Crowell, Weedon & Co.
|
CA
|
Broker Dealer
|
|
A5423
|
Crown Capital Securities, LP
|
CA
|
Broker Dealer
|
|
A4829
|
CRT Capital Group LLC
|
CT
|
Broker Dealer
|
|
A6793
|
CSSC Brokerage Services, Inc.
|
MI
|
Broker Dealer
|
|
A2954
|
Cullen Investment Group, Ltd.
|
LA
|
Broker Dealer
|
|
A4634
|
CUNA Brokerage Services, Inc.
|
IA
|
Broker Dealer
|
|
A6614
|
Curian Clearing, LLC
|
CO
|
Broker Dealer
|
|
A7112
|
Curran Advisory Services
|
NY
|
Broker Dealer
|
|
A3605
|
Curren & Company
|
CA
|
Broker Dealer
|
|
A7288
|
Cushman & Wakefield Securities, Inc.
|
NY
|
Broker Dealer
|
|
A4995
|
CUSO Financial Services, LP
|
CA
|
Broker Dealer
|
|
A3216
|
Cutter & Company Brokerage,Inc
|
MO
|
Broker Dealer
|
|
A7145
|
CV Brokerage Inc
|
PA
|
Broker Dealer
|
|
A6304
|
CW Securities, LLC
|
TN
|
Broker Dealer
|
|
A6051
|
D.B. McKenna & Co., Inc.
|
VT
|
Broker Dealer
|
|
A6768
|
D.H. Hill Securities, LLP
|
TX
|
Broker Dealer
|
|
A6879
|
D.J. St. Germain Co, Inc.
|
MA
|
Broker Dealer
|
|
A0365
|
DA Davidson & Company
|
MT
|
Broker Dealer/Municipal Advisor
|
|
A3450
|
Dalton Strategic Invest. Serv.
|
IN
|
Broker Dealer
|
|
A5094
|
Darcy Group (The), LLC
|
NY
|
Broker Dealer
|
|
A0359
|
Dart, Papesh & Co., Inc.
|
MI
|
Broker Dealer
|
|
A0360
|
Darwood Associates, Inc.
|
NJ
|
Broker Dealer
|
|
A0364
|
Davenport & Company LLC
|
VA
|
Broker Dealer/Municipal Advisor
|
|
A1061
|
David A Noyes & Company
|
IL
|
Broker Dealer
|
|
A5604
|
David Harris & Co., Inc.
|
NY
|
Broker Dealer
|
|
A0887
|
David Lerner Associates, Inc
|
NY
|
Broker Dealer
|
|
A6113
|
DaVinci Capital Management
|
MA
|
Broker Dealer
|
|
A6982
|
Davis Securities LLC
|
NY
|
Broker Dealer
|
|
A6548
|
Dawson James Securities, Inc.
|
FL
|
Broker Dealer
|
|
A7027
|
de Koning Capital Markets, LLC
|
CO
|
Broker Dealer
|
|
A7211
|
Dealerweb Inc.
|
NJ
|
Broker Dealer
|
|
A6291
|
Dearborn Capital Markets Group, LLC
|
TN
|
Broker Dealer
|
|
A4603
|
Delta Equity Services Corp.
|
MA
|
Broker Dealer
|
|
A5457
|
Delta Trust Investments
|
AR
|
Broker Dealer
|
|
A6812
|
Dempsey, Lord, Smith LLC
|
GA
|
Broker Dealer
|
|
A4800
|
DesPain Financial Corporation
|
IL
|
Broker Dealer
|
|
A6273
|
Destiny Capital Securities Corporation
|
CO
|
Broker Dealer
|
|
A7234
|
Destra Capital Investments LLC
|
IL
|
Broker Dealer
|
|
A0459
|
Detwiler Fenton & Co.
|
MA
|
Broker Dealer
|
|
A7180
|
Detwiler Fenton Wealth Management Inc.
|
CA
|
Broker Dealer
|
|
A0869
|
Deutsche Bank Securities Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A6478
|
Devenir LLC
|
MN
|
Broker Dealer
|
|
A0381
|
Diamant Investment Corporation
|
CT
|
Broker Dealer
|
|
A1661
|
Dillon Gage Securities, Inc.
|
TX
|
Broker Dealer
|
|
A6392
|
Dinosaur Securities, L.L.C.
|
NY
|
Broker Dealer
|
|
A6989
|
Direct Access Partners, LLC
|
NY
|
Broker Dealer
|
|
A7167
|
Discount Municipal Bond Corp
|
CA
|
Broker Dealer
|
|
A6316
|
Diversified Resources, LLC
|
RI
|
Broker Dealer
|
|
A6992
|
Divine Capital Markets LLC
|
NY
|
Broker Dealer
|
|
A4743
|
DM Kelly & Company
|
IA
|
Broker Dealer
|
|
A0392
|
Doft & Co., Inc.
|
NY
|
Broker Dealer
|
|
A2074
|
Dominick & Dominick, LLC
|
NY
|
Broker Dealer
|
|
A2995
|
Dominion Investor Services
|
TX
|
Broker Dealer
|
|
A6480
|
Donegal Securities, Inc.
|
MA
|
Broker Dealer
|
|
A0400
|
Dorn & Co., Inc.
|
MN
|
Broker Dealer
|
|
A0401
|
Dorsey & Company, Inc.
|
LA
|
Broker Dealer
|
|
A1329
|
Dougherty & Company LLC
|
MN
|
Broker Dealer/Municipal Advisor
|
|
A0406
|
Douglas and Co. Municipals,Inc
|
NY
|
Broker Dealer
|
|
A0403
|
Downstate Securities Group, Inc.
|
FL
|
Broker Dealer
|
|
A7115
|
Drexel Hamilton, LLC
|
NY
|
Broker Dealer
|
|
A3476
|
du Pasquier & Co., Inc.
|
NY
|
Broker Dealer
|
|
A0748
|
Duncan-Williams, Inc.
|
TN
|
Broker Dealer
|
|
A6160
|
DWS Investments Distributors Inc.
|
NY
|
Broker Dealer
|
|
A7113
|
Dynasty Capital Partners, Inc.
|
CO
|
Broker Dealer
|
|
A1766
|
E Magnus Oppenheim & Co., Inc.
|
NY
|
Broker Dealer
|
|
A6208
|
E*TRADE Clearing LLC
|
NJ
|
Broker Dealer
|
|
A4526
|
E*Trade Securities LLC
|
NJ
|
Broker Dealer
|
|
A3636
|
E-W Investments, Inc.
|
CA
|
Broker Dealer
|
|
A7273
|
E.S. Financial Services Inc.
|
FL
|
Broker Dealer
|
|
A6553
|
Eagle Equities, Inc.
|
MD
|
Broker Dealer
|
|
A5278
|
Eagle One Investments, LLC
|
IA
|
Broker Dealer
|
|
A5072
|
EarlyBirdCapital Inc.
|
NY
|
Broker Dealer
|
|
A6807
|
East Shore Partners Inc.
|
NY
|
Broker Dealer
|
|
A7208
|
East/West Securities Corp
|
CA
|
Broker Dealer
|
|
B0446
|
Eastern Bank
|
MA
|
Bank Dealer/Municipal Advisor
|
|
A5939
|
Easton Investment Services, LLC
|
IN
|
Broker Dealer
|
|
A0425
|
Economy Securities, Incorporated
|
IN
|
Broker Dealer
|
|
A2641
|
EDI Financial Inc.
|
TX
|
Broker Dealer
|
|
A0799
|
Edward Jones
|
MO
|
Broker Dealer/Municipal Advisor
|
|
A5966
|
Edwin C. Blitz Investments, Inc.
|
IL
|
Broker Dealer
|
|
A4865
|
EFG Capital International
|
FL
|
Broker Dealer
|
|
A7034
|
Eide Bailly Securities LLC
|
ND
|
Broker Dealer
|
|
A3512
|
EJ De La Rosa & Co., Inc.
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A7258
|
EJ STERLING INC
|
NY
|
Broker Dealer
|
|
A6189
|
EK Riley Investments, LLC
|
WA
|
Broker Dealer
|
|
A3735
|
Elish & Elish Inc.
|
PA
|
Broker Dealer
|
|
A6623
|
Elliott Davis Brokerage Services, LLC
|
SC
|
Broker Dealer
|
|
A1137
|
Elmer E Powell & Company
|
PA
|
Broker Dealer
|
|
A5810
|
Eltekon Securities, LLC
|
TX
|
Broker Dealer
|
|
A6524
|
Emerson Equity LLC
|
CA
|
Broker Dealer
|
|
A2082
|
Emmet & Co., Inc.
|
NJ
|
Broker Dealer
|
|
A6852
|
Empire Asset Management Company
|
NY
|
Broker Dealer
|
|
A3250
|
Ensemble Financial Services, Inc
|
NY
|
Broker Dealer
|
|
A6611
|
Envoy Securities, LLC
|
CO
|
Broker Dealer
|
|
A5960
|
Equable Securities Corporation
|
WI
|
Broker Dealer
|
|
A4888
|
Equibond, Inc.
|
CA
|
Broker Dealer
|
|
A6895
|
Equinox Securities Inc.
|
CA
|
Broker Dealer
|
|
A2272
|
Equity Services, Inc.
|
VT
|
Broker Dealer
|
|
A6751
|
ESL Investment Services, LLC
|
NY
|
Broker Dealer
|
|
A6993
|
Esposito Securities, LLC
|
TX
|
Broker Dealer
|
|
A6423
|
Essex Financial Services, Inc.
|
CT
|
Broker Dealer/Municipal Advisor
|
|
A4275
|
Essex National Securities, LLC
|
CA
|
Broker Dealer
|
|
A6248
|
Essex Securities LLC
|
MA
|
Broker Dealer
|
|
A3631
|
Estrada Hinojosa & Co., Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A6980
|
ETC Brokerage Services, LLC
|
OH
|
Broker Dealer
|
|
A5045
|
Euro Pacific Capital, Inc.
|
CT
|
Broker Dealer
|
|
A6499
|
Everence Securities, Inc.
|
IN
|
Broker Dealer
|
|
A5449
|
Evertrade Direct Brokerage Inc
|
MO
|
Broker Dealer
|
|
A4676
|
Excel Securities & Associates,
|
NY
|
Broker Dealer
|
|
A3243
|
Fairfax Securities Corporation
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A5915
|
Fairport Capital, Inc.
|
AZ
|
Broker Dealer
|
|
A0457
|
Family Investors Company
|
NJ
|
Broker Dealer
|
|
A5219
|
Family Mgmt. Securities LLC
|
NY
|
Broker Dealer
|
|
A5857
|
Farmers Financial Solution LLC
|
CA
|
Broker Dealer
|
|
A6486
|
FBL Marketing Services, LLC
|
IA
|
Broker Dealer
|
|
A5705
|
FBT Investments, Inc.
|
LA
|
Broker Dealer
|
|
A4866
|
FCG Advisors, LLC
|
NJ
|
Broker Dealer
|
|
A6214
|
Federated Securities Corp.
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A5351
|
Federated Securities, Inc.
|
NY
|
Broker Dealer
|
|
A3995
|
Feldman, Ingardona & Co.
|
IL
|
Broker Dealer
|
|
A5859
|
Feldstein Financial Group, LLC
|
NJ
|
Broker Dealer
|
|
A6072
|
Feltl & Company
|
MN
|
Broker Dealer
|
|
A7181
|
FFC Capital Advisors, LLC
|
LA
|
Broker Dealer/Municipal Advisor
|
|
A0463
|
Fidelity Brokerage Servs. LLC
|
RI
|
Broker Dealer
|
|
A5752
|
Fidelity Investments Institutional Services Co, Inc
|
RI
|
Broker Dealer/Municipal Advisor
|
|
A7183
|
Fiduciary Advisors, LLC
|
PA
|
Broker Dealer
|
|
A3290
|
Fieldpoint Private Securities, LLC.
|
CT
|
Broker Dealer
|
|
A7074
|
Fieldstone Services Corp.
|
NY
|
Broker Dealer
|
|
A1070
|
Fifth Third Securities, Inc.
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A6957
|
FIG Partners LLC
|
GA
|
Broker Dealer/Municipal Advisor
|
|
A4729
|
Finance 500, Inc.
|
CA
|
Broker Dealer
|
|
A6792
|
Financial Advisers of America, LLC
|
CA
|
Broker Dealer
|
|
A0466
|
Financial America Securities,
|
OH
|
Broker Dealer
|
|
A3302
|
Financial Northeastern Sec.Inc
|
NJ
|
Broker Dealer
|
|
A0468
|
Financial Planning Consultants
|
MO
|
Broker Dealer
|
|
A5952
|
Financial Security Management, Inc.
|
VA
|
Broker Dealer
|
|
A5874
|
Financial Telesis Inc.
|
CA
|
Broker Dealer
|
|
A2291
|
Financial West Group, Inc.
|
CA
|
Broker Dealer
|
|
A6937
|
FinTech Securities, LLC
|
GA
|
Broker Dealer
|
|
A5099
|
Fintegra, LLC
|
MN
|
Broker Dealer
|
|
A4599
|
First Allied Securities, Inc.
|
CA
|
Broker Dealer
|
|
A6035
|
First American Capital & Trading Corporation
|
FL
|
Broker Dealer
|
|
A3255
|
First American Municipals, Inc
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A6753
|
First Asset Financial Inc.
|
KS
|
Broker Dealer
|
|
A6337
|
First Ballantyne, LLC
|
NC
|
Broker Dealer
|
|
A1942
|
First Bankers' Banc Securities, Inc.
|
MO
|
Broker Dealer
|
|
A5126
|
First Brokerage America, L.L.C
|
MO
|
Broker Dealer
|
|
A4066
|
First Brokers Securities, LLC
|
NJ
|
Broker Dealer
|
|
A6426
|
First Capital Equities Ltd.
|
NY
|
Broker Dealer
|
|
A3262
|
First Citizens Financial Plus,
|
TN
|
Broker Dealer
|
|
A5189
|
First Citizens Investor Svcs.
|
NC
|
Broker Dealer
|
|
A6764
|
First Citizens Securities Corporation
|
SC
|
Broker Dealer
|
|
A5359
|
First Clearing, LLC.
|
MO
|
Broker Dealer
|
|
A6145
|
First Command Financial Planning, Inc.
|
TX
|
Broker Dealer
|
|
A2865
|
First Commonwealth Sec.Corp.
|
GA
|
Broker Dealer
|
|
A3613
|
First Dallas Securities, Inc.
|
TX
|
Broker Dealer
|
|
A2469
|
First Empire Securities, Inc.
|
NY
|
Broker Dealer
|
|
A5890
|
First Financial Equity Corporation
|
AZ
|
Broker Dealer
|
|
A5879
|
First Financial Securities of America, Inc.
|
TX
|
Broker Dealer
|
|
A1452
|
First Georgetown Securities,In
|
VA
|
Broker Dealer
|
|
A4455
|
First Heartland Capital
|
MO
|
Broker Dealer
|
|
A0695
|
First Honolulu Securities, Inc
|
HI
|
Broker Dealer
|
|
A6501
|
First Independent Financial Services, Inc.
|
OK
|
Broker Dealer
|
|
A6908
|
First Integrity Capital Partners, Corp.
|
FL
|
Broker Dealer
|
|
A5053
|
First Investors Corporation
|
NY
|
Broker Dealer
|
|
A0487
|
First Kentucky Secur. Corp.
|
KY
|
Broker Dealer
|
|
A1877
|
First Liberties Securities, In
|
NY
|
Broker Dealer
|
|
A0488
|
First Manhattan Co.
|
NY
|
Broker Dealer
|
|
A0495
|
First Midstate Inc.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A3866
|
First Midwest Securities, Inc.
|
IL
|
Broker Dealer
|
|
B0360
|
First National Banker's Bank
|
LA
|
Bank Dealer/Municipal Advisor
|
|
A5914
|
First National Capital Markets, Inc.
|
NE
|
Broker Dealer
|
|
A3175
|
First New York Securities Co.
|
NY
|
Broker Dealer
|
|
A6497
|
First Public, LLC
|
TX
|
Broker Dealer
|
|
A5730
|
First Republic Secs. Co., LLC
|
CA
|
Broker Dealer
|
|
A4686
|
First Research Finance Inc.
|
TX
|
Broker Dealer
|
|
A6588
|
First Savings Securities, Inc.
|
PA
|
Broker Dealer
|
|
B0373
|
First Source Bank (1st)
|
IN
|
Bank Dealer
|
|
A2296
|
First South Carolina Secs.
|
SC
|
Broker Dealer
|
|
A5297
|
First Southeast Investor Svcs., Inc.
|
SC
|
Broker Dealer
|
|
A7093
|
First Southern Securities, LLC
|
GA
|
Broker Dealer/Municipal Advisor
|
|
A0503
|
First Southwest Company
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A2263
|
First State Financial Management
|
MO
|
Broker Dealer
|
|
A4773
|
First Tennessee Brokerage
|
TN
|
Broker Dealer
|
|
A3898
|
First Trust Portfolios L.P.
|
IL
|
Broker Dealer
|
|
A4993
|
First Tryon Securities, LLC
|
NC
|
Broker Dealer/Municipal Advisor
|
|
B0465
|
First Tuskegee Capital Markets
|
AL
|
Bank Dealer/Municipal Advisor
|
|
A0506
|
First Washington Corporation
|
WA
|
Broker Dealer
|
|
A2155
|
First Western Advisors
|
UT
|
Broker Dealer
|
|
A2800
|
First Western Securities, Inc.
|
TX
|
Broker Dealer
|
|
A2937
|
First Winston Securities, Inc.
|
NC
|
Broker Dealer
|
|
A7016
|
FirstBank Puerto Rico Securities Corp.
|
PR
|
Broker Dealer
|
|
A7032
|
FirstMerit Financial Services, Inc.
|
OH
|
Broker Dealer
|
|
A5409
|
Firstrade Securities, Inc.
|
NY
|
Broker Dealer
|
|
A5981
|
Five Star Investment Services, Inc.
|
NY
|
Broker Dealer
|
|
A6284
|
Fixed Income Capital Partners, LLC
|
IL
|
Broker Dealer
|
|
A5125
|
Florida Atlantic Secs. Corp.
|
FL
|
Broker Dealer
|
|
A5910
|
Florida Investment Advisors, Inc.
|
FL
|
Broker Dealer
|
|
A6091
|
FMN Capital Corporation
|
CA
|
Broker Dealer
|
|
A0489
|
fmsbonds, INC.
|
FL
|
Broker Dealer/Municipal Advisor
|
|
A6676
|
FNBB Capital Markets, LLC
|
AL
|
Broker Dealer
|
|
A7169
|
Fogel Neale Securities,LLC
|
NY
|
Broker Dealer
|
|
A0516
|
Folger Nolan Fleming Douglas
|
MD
|
Broker Dealer
|
|
A6843
|
FOLIOfn Investments, Inc.
|
VA
|
Broker Dealer
|
|
A3834
|
Foothill Securities, Inc.
|
CA
|
Broker Dealer
|
|
A3777
|
Fordham Financial Management,
|
NY
|
Broker Dealer
|
|
A7279
|
Forefront Capital Markets LLC
|
NY
|
Broker Dealer
|
|
A6527
|
Foresight Investements LLC
|
IL
|
Broker Dealer
|
|
A6650
|
Forest Securities, Inc
|
IL
|
Broker Dealer
|
|
A5919
|
Foresters Equity Services, Inc.
|
CA
|
Broker Dealer
|
|
A2204
|
Forsyth Securities, Inc.
|
MO
|
Broker Dealer
|
|
A7147
|
Fortune Financial Services, Inc.
|
PA
|
Broker Dealer
|
|
A6692
|
Fortune Securities, Inc.
|
CA
|
Broker Dealer
|
|
A6727
|
Founders Financial Securities, LLC
|
MD
|
Broker Dealer
|
|
A7298
|
Four Points Capital Partners LLC
|
NY
|
Broker Dealer
|
|
A6542
|
Fox Chase Capital Partners LLC
|
NJ
|
Broker Dealer
|
|
A3767
|
Franklin Street Securities, In
|
NC
|
Broker Dealer
|
|
A5769
|
Franklin Templeton Distributors, Inc.
|
CA
|
Broker Dealer
|
|
A0529
|
Frazer Lanier Company,Inc.(The
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A6408
|
Freedom Investors Corp.
|
WI
|
Broker Dealer
|
|
A6286
|
Freestone Securities, LLC
|
WA
|
Broker Dealer
|
|
A1617
|
Freimark, Blair & Company, Inc
|
NJ
|
Broker Dealer
|
|
A2720
|
Friedman Luzzatto & Co.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
B0358
|
Frost Bank
|
TX
|
Bank Dealer
|
|
A5240
|
Frost Brokerage Services, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A2290
|
FSB Warner Financial, Inc.
|
IA
|
Broker Dealer/Municipal Advisor
|
|
A0453
|
FSC Securities Corporation
|
NY
|
Broker Dealer
|
|
A4650
|
FSIC
|
WA
|
Broker Dealer
|
|
B0144
|
FTN Financial Capital Markets
|
TN
|
Bank Dealer
|
|
A6765
|
Fulcrum Securities, LLC
|
MO
|
Broker Dealer
|
|
A5118
|
Further Lane Securities, L.P.
|
NY
|
Broker Dealer
|
|
A6257
|
G.L.S. & Associates, Inc.
|
AL
|
Broker Dealer
|
|
A2729
|
GA Repple & Company
|
FL
|
Broker Dealer
|
|
A0549
|
Gage-Wiley & Co., Inc.
|
MA
|
Broker Dealer
|
|
A2161
|
Gain Securities
|
OH
|
Broker Dealer
|
|
A6576
|
Gar Wood Securities, LLC
|
IL
|
Broker Dealer
|
|
A5399
|
Garden State Securities, Inc.
|
NJ
|
Broker Dealer
|
|
A3682
|
Gardner Financial Services,Inc
|
MN
|
Broker Dealer
|
|
A4112
|
Gardnyr Michael Capital, Inc.
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A1036
|
Garrett Nagle & Co., Inc.
|
MA
|
Broker Dealer
|
|
A0574
|
Gary Goldberg & Co., Inc.
|
NY
|
Broker Dealer
|
|
A4020
|
Gates Capital Corporation
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A2293
|
GBS Financial Corporation
|
CA
|
Broker Dealer
|
|
A6363
|
GBS Retirement Services, Inc.
|
IL
|
Broker Dealer
|
|
A3882
|
GE Capital Markets, Inc.
|
CT
|
Broker Dealer
|
|
A6087
|
Geneos Wealth Management, Inc.
|
CO
|
Broker Dealer
|
|
A2167
|
General Securities Corp.
|
MO
|
Broker Dealer
|
|
A6340
|
Geoffrey Richards Securities Corp.
|
FL
|
Broker Dealer
|
|
A0104
|
George K Baum & Company
|
MO
|
Broker Dealer/Municipal Advisor
|
|
A0958
|
George McKelvey Co., Inc.
|
NJ
|
Broker Dealer
|
|
A6618
|
GF Investment Services, LLC
|
FL
|
Broker Dealer
|
|
A6595
|
GFA Securities, LLC
|
NY
|
Broker Dealer
|
|
A6673
|
GFI Securities, LLC
|
NY
|
Broker Dealer
|
|
A0566
|
Gilbert, Doniger & Co., Inc.
|
NY
|
Broker Dealer
|
|
A0567
|
Gilford Securities, Inc
|
NY
|
Broker Dealer
|
|
A1819
|
Gill Capital Partners
|
CO
|
Broker Dealer
|
|
A7124
|
Girard Capital, LLC
|
PA
|
Broker Dealer
|
|
A3295
|
Girard Securities, Inc.
|
CA
|
Broker Dealer
|
|
A1519
|
GIT Investment Services, Inc.
|
VA
|
Broker Dealer
|
|
A5315
|
Gladowsky Capital Mgmt. Corp.
|
NY
|
Broker Dealer
|
|
A6432
|
Glen Eagle Advisors, LLC
|
NJ
|
Broker Dealer
|
|
A7129
|
Glendale Securities, Inc.
|
CA
|
Broker Dealer
|
|
A5661
|
Glickenhaus & Company
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A7010
|
Global Arena Capital Corp
|
NY
|
Broker Dealer
|
|
A4970
|
Global Brokerage Services, Inc
|
MD
|
Broker Dealer
|
|
A4446
|
Global Financial Services
|
TX
|
Broker Dealer
|
|
A6343
|
Global Investor Services, L.C.
|
FL
|
Broker Dealer
|
|
A6781
|
GlobaLink Securities, Inc
|
CA
|
Broker Dealer
|
|
A5854
|
GMP Securities, LLC.
|
NY
|
Broker Dealer
|
|
A5191
|
Goelzer Investment Mgmt. Inc.
|
IN
|
Broker Dealer
|
|
A5880
|
Gold Coast Securities, Inc.
|
CA
|
Broker Dealer
|
|
A6590
|
Golden Beneficial Securities Corporation
|
TX
|
Broker Dealer
|
|
A1293
|
Goldman Sachs Execution & Clearing, L.P.
|
NY
|
Broker Dealer
|
|
A0576
|
Goldman, Sachs & Company
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A6111
|
Googins & Anton, Inc.
|
WI
|
Broker Dealer
|
|
A5412
|
Government Capital Securities Corporation
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A4961
|
Government Perspectives, LLC
|
CA
|
Broker Dealer
|
|
A6740
|
Grace Financial Group, LLC
|
NY
|
Broker Dealer
|
|
A7139
|
Gradient Securities, LLC
|
MN
|
Broker Dealer
|
|
A5511
|
Grant Street Securities, Inc.
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A5378
|
Grant Williams LP
|
PA
|
Broker Dealer
|
|
A6560
|
GRB Financial, LLC
|
TX
|
Broker Dealer
|
|
A4869
|
Great American Advisors, Inc.
|
OH
|
Broker Dealer
|
|
A4571
|
Great American Investors, Inc.
|
KS
|
Broker Dealer
|
|
A0941
|
Great Circle Financial
|
NV
|
Broker Dealer
|
|
A4303
|
Great Pacific Securities
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A4880
|
Greenberg Financial Group
|
AZ
|
Broker Dealer
|
|
A6022
|
Greenbrier Diversified, Inc.
|
CA
|
Broker Dealer
|
|
A2197
|
Greenman Parker Connally Greenman, Inc.
|
TX
|
Broker Dealer
|
|
A1272
|
Gregory J Schwartz & Co., Inc.
|
MI
|
Broker Dealer/Municipal Advisor
|
|
A3510
|
GRF Capital Investors, Inc.
|
OK
|
Broker Dealer
|
|
A3985
|
Grodsky Associates, Inc.
|
NJ
|
Broker Dealer
|
|
A4820
|
Guggenheim Funds Distributors, Inc.
|
IL
|
Broker Dealer
|
|
A6678
|
Guggenheim Investor Services, LLC
|
NY
|
Broker Dealer
|
|
A6789
|
Guggenheim Securities, LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A2938
|
Guzman & Company
|
FL
|
Broker Dealer
|
|
A6029
|
GVC Capital LLC
|
CO
|
Broker Dealer
|
|
A3556
|
GW & Wade Asset Mgt.Co.
|
MA
|
Broker Dealer
|
|
A6505
|
GWN Securities, Inc.
|
FL
|
Broker Dealer
|
|
A2183
|
H Beck, Inc.
|
MD
|
Broker Dealer
|
|
A6332
|
H.D. Brent & Company, Inc.
|
IL
|
Broker Dealer
|
|
A1681
|
H.D. Vest Investment Services, Inc.
|
TX
|
Broker Dealer
|
|
A7304
|
H2C Securities Inc.
|
CA
|
Broker Dealer
|
|
A7182
|
HA&W STRATEGIC PARTNERS, LLC
|
GA
|
Broker Dealer
|
|
A7068
|
Halcyon Cabot Partners, Ltd
|
NY
|
Broker Dealer
|
|
A6974
|
Halen Capital
|
FL
|
Broker Dealer
|
|
A6399
|
Hall & Romkema Financial Services, LLC
|
MI
|
Broker Dealer
|
|
A6664
|
Hallmark Investments, Inc.
|
NY
|
Broker Dealer
|
|
A6787
|
Hamilton Cavanaugh Investment Brokers, Inc.
|
NY
|
Broker Dealer
|
|
A4871
|
Hancock Investment Services
|
LA
|
Broker Dealer/Municipal Advisor
|
|
A5559
|
Hancock Securities Group, LLC
|
MO
|
Broker Dealer
|
|
A6040
|
Hand Securities, Inc.
|
TX
|
Broker Dealer
|
|
A6871
|
Hanson McClain
|
CA
|
Broker Dealer
|
|
A5525
|
Hantz Financial Services, Inc.
|
MI
|
Broker Dealer
|
|
A0441
|
Hapoalim Securities USA, Inc.
|
NY
|
Broker Dealer
|
|
A3627
|
Harbor Financial Services, L.L.C.
|
AL
|
Broker Dealer
|
|
A7043
|
Harbor Investment Advisory, LLC
|
MD
|
Broker Dealer
|
|
A7232
|
Harbor Light Securities, LLC
|
SC
|
Broker Dealer
|
|
A3229
|
Harbour Investments, Inc.
|
WI
|
Broker Dealer
|
|
A4542
|
Harger & Company, Inc.
|
LA
|
Broker Dealer
|
|
A0626
|
Hartfield,Titus & Donnelly LLC
|
NJ
|
Broker Dealer
|
|
A7266
|
Hartford Investment Financial Services, LLC
|
CT
|
Broker Dealer
|
|
A6037
|
Hartford Securities Distribution Company, Inc.
|
MN
|
Broker Dealer
|
|
A5856
|
Harvest Capital, LLC
|
CT
|
Broker Dealer
|
|
A1963
|
Harvest Financial Corporation
|
PA
|
Broker Dealer
|
|
A4382
|
Harvestons Securities, Inc.
|
CO
|
Broker Dealer
|
|
A1577
|
Haverford Trust Securities, Inc.
|
PA
|
Broker Dealer
|
|
A7296
|
Havkit Corporation
|
NY
|
Broker Dealer
|
|
A0631
|
Hazard & Siegel, Inc.
|
NY
|
Broker Dealer
|
|
A0632
|
Hazlett, Burt & Watson, Inc.
|
WV
|
Broker Dealer
|
|
A6714
|
HBW Securities, LLC
|
CA
|
Broker Dealer
|
|
A0377
|
HC Denison Company
|
WI
|
Broker Dealer
|
|
A6786
|
HC Wainwright & Co., Inc.
|
NY
|
Broker Dealer
|
|
A3837
|
Heartland Investment Associates, Inc.
|
IA
|
Broker Dealer
|
|
A0635
|
Hefren-Tillotson, Inc.
|
PA
|
Broker Dealer
|
|
A4981
|
Heim, Young & Associates, Inc.
|
MO
|
Broker Dealer
|
|
A6579
|
Henley & Company LLC
|
NY
|
Broker Dealer
|
|
A3574
|
Hennion & Walsh Inc.
|
NJ
|
Broker Dealer
|
|
A1481
|
Herbert J Sims & Co., Inc.
|
CT
|
Broker Dealer/Municipal Advisor
|
|
A6627
|
Heritage Financial Systems, Inc.
|
PA
|
Broker Dealer
|
|
A5316
|
Herndon Plant Oakley Ltd.
|
TX
|
Broker Dealer
|
|
A6107
|
Hewitt Financial Services LLC
|
IL
|
Broker Dealer
|
|
A7008
|
HFP Capital Markets LLC
|
NY
|
Broker Dealer
|
|
A5061
|
Higgins Capital Management
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A6674
|
High Street Securites, Inc.
|
AR
|
Broker Dealer
|
|
A6150
|
Highland Financial, Ltd.
|
PA
|
Broker Dealer
|
|
A2723
|
Highlander Capital Group, Inc.
|
NJ
|
Broker Dealer
|
|
A6950
|
HighTower Securities, LLC
|
IL
|
Broker Dealer
|
|
A5425
|
Hollencrest Capital Management
|
CA
|
Broker Dealer
|
|
A1852
|
Home Financial Services, Inc.
|
TN
|
Broker Dealer
|
|
A6356
|
Horace Mann Investors, Inc.
|
IL
|
Broker Dealer
|
|
A6691
|
Horan Securities, Inc.
|
OH
|
Broker Dealer
|
|
A1729
|
Hornor, Townsend & Kent, Inc.
|
PA
|
Broker Dealer
|
|
A6681
|
HP Securities, Inc.
|
OR
|
Broker Dealer
|
|
A6580
|
HRC Investment Services, Inc.
|
NY
|
Broker Dealer
|
|
A0563
|
HSBC Securities (USA) Inc.
|
NY
|
Broker Dealer
|
|
A7250
|
Hub International Investment Services Inc.
|
CA
|
Broker Dealer
|
|
A6254
|
Hudson Heritage Capital Management, Inc.
|
NY
|
Broker Dealer
|
|
A0937
|
Hugo Marx & Co., Inc.
|
AL
|
Broker Dealer
|
|
A4099
|
Hunter Associates, Inc.
|
PA
|
Broker Dealer
|
|
A2328
|
Huntington Investment Company
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A0850
|
Huntleigh Securities Corporati
|
MO
|
Broker Dealer
|
|
A0693
|
Hutchinson,Shockey,Erley & Co.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A6114
|
IBN Financial Services, Inc.
|
NY
|
Broker Dealer
|
|
A6508
|
IBS Securities, LLC
|
IL
|
Broker Dealer
|
|
A6419
|
ICAP Corporates LLC
|
NJ
|
Broker Dealer
|
|
A3341
|
ICBA Securities
|
TN
|
Broker Dealer
|
|
A5579
|
ICM Capital Markets Ltd.
|
NY
|
Broker Dealer
|
|
A6202
|
IDB Capital Corp.
|
NY
|
Broker Dealer
|
|
A5148
|
Imperial Capital, LLC
|
CA
|
Broker Dealer
|
|
A4596
|
IMS Securities, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A5756
|
Incapital, LLC
|
IL
|
Broker Dealer
|
|
A6427
|
Independence Capital Co., Inc.
|
OH
|
Broker Dealer
|
|
B0326
|
Independent Bankers' Bk.of FL
|
FL
|
Bank Dealer
|
|
A0606
|
Independent Financial Group, LLC
|
CA
|
Broker Dealer
|
|
A3447
|
Indiana Merchant Banking & Bro
|
IN
|
Broker Dealer
|
|
A5280
|
Indiana Securities, LLC
|
IN
|
Broker Dealer
|
|
A7131
|
Industrial and Commerical Bank of China Financial Services LLC
|
NY
|
Broker Dealer
|
|
A4421
|
Infinex Investments, Inc.
|
CT
|
Broker Dealer/Municipal Advisor
|
|
A6883
|
Infinity Financial Services
|
CA
|
Broker Dealer
|
|
A5712
|
ING Financial Advisers, LLC
|
CT
|
Broker Dealer
|
|
A3389
|
ING Financial Partners, Inc.
|
IA
|
Broker Dealer
|
|
A7201
|
ING Investments Distributor LLC
|
CT
|
Broker Dealer
|
|
A0706
|
Ingalls & Snyder LLC
|
NY
|
Broker Dealer
|
|
A3751
|
INNOVA Securities, Inc.
|
MD
|
Broker Dealer
|
|
A0682
|
Insight Securities, Inc.
|
IL
|
Broker Dealer
|
|
A5797
|
Institutional Securities Corp.
|
TX
|
Broker Dealer
|
|
A6690
|
Integral Financial LLC
|
CA
|
Broker Dealer
|
|
A6541
|
Integrated Financial Planning Services
|
BW
|
Broker Dealer
|
|
A7210
|
Interactive Brokers Corp
|
CT
|
Broker Dealer
|
|
A6912
|
Interactive Brokers LLC
|
CT
|
Broker Dealer
|
|
A2868
|
Intercarolina Financial Svs,In
|
NC
|
Broker Dealer
|
|
A0117
|
Intercoastal Capital Markets, Inc.
|
FL
|
Broker Dealer
|
|
A3707
|
Intercontinental Asset Mgmt,Gr
|
TX
|
Broker Dealer
|
|
A4531
|
Internat'l Strategy & Invt Grp
|
NY
|
Broker Dealer
|
|
A4089
|
International Assets Advisory, LLC
|
FL
|
Broker Dealer
|
|
A6998
|
International Financial Solutions Inc.
|
GA
|
Broker Dealer
|
|
A2442
|
International Money Mgt.Group
|
MD
|
Broker Dealer
|
|
A2822
|
International Research Sec.Inc
|
TX
|
Broker Dealer
|
|
A0711
|
Interpacific Investors Service
|
WA
|
Broker Dealer
|
|
A5789
|
Intervest Internat'l Equities
|
CO
|
Broker Dealer
|
|
A0712
|
Invemed Associates, Inc.
|
NY
|
Broker Dealer
|
|
A6522
|
Inverness Securities, LLC
|
OH
|
Broker Dealer
|
|
A1401
|
Invesco Capital Markets, Inc.
|
IL
|
Broker Dealer
|
|
A5938
|
Invesco Distributor's, Inc
|
TX
|
Broker Dealer
|
|
A1514
|
Invest Financial Corp.
|
FL
|
Broker Dealer
|
|
A0719
|
Investacorp, Inc.
|
FL
|
Broker Dealer
|
|
A2458
|
Investment Center, Inc.(The)
|
NJ
|
Broker Dealer
|
|
A3690
|
Investment Centers of America
|
ND
|
Broker Dealer
|
|
A6473
|
Investment Network, Inc
|
OH
|
Broker Dealer
|
|
A3944
|
Investment Placement Group
|
CA
|
Broker Dealer
|
|
A5065
|
Investment Planners, Inc.
|
IL
|
Broker Dealer
|
|
A4134
|
Investment Professionals, Inc.
|
TX
|
Broker Dealer
|
|
A7299
|
Investment Security Corporation
|
CA
|
Broker Dealer
|
|
A5181
|
Investments Architects, Inc.
|
CA
|
Broker Dealer
|
|
A6933
|
Investments For You, Inc.
|
OH
|
Broker Dealer
|
|
A2080
|
Investors Brokerage of Texas, Ltd.
|
TX
|
Broker Dealer
|
|
A4398
|
Investors Capital Corporation
|
MA
|
Broker Dealer/Municipal Advisor
|
|
A6062
|
Investors Planning Services, Corp.
|
NY
|
Broker Dealer
|
|
A0725
|
Investors Security Co.
|
VA
|
Broker Dealer
|
|
A7225
|
Invex, Inc.
|
FL
|
Broker Dealer
|
|
A6242
|
IRR Capital Markets, Inc.
|
KS
|
Broker Dealer/Municipal Advisor
|
|
A0727
|
Isaak Bond Investments, Inc.
|
CO
|
Broker Dealer
|
|
A6734
|
ISI Capital, LLC
|
NY
|
Broker Dealer
|
|
A4731
|
ITA Financial Services, LLC
|
FL
|
Broker Dealer
|
|
A7090
|
iTB Securities, LLC
|
NY
|
Broker Dealer
|
|
A4978
|
J Alden Associates
|
PA
|
Broker Dealer
|
|
A6948
|
J K Financial Services, Inc.
|
CA
|
Broker Dealer
|
|
A5518
|
J.D. Nicholas & Associates, Inc.
|
NY
|
Broker Dealer
|
|
A3916
|
J.P. Morgan Clearing Corp.
|
NY
|
Broker Dealer
|
|
K0478
|
J.P. Morgan Institutional Investments Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A0105
|
J.P. Morgan Securities LLC.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A6306
|
J.W. Cole Financial, Inc.
|
FL
|
Broker Dealer
|
|
A3035
|
JA Glynn & Company
|
MO
|
Broker Dealer
|
|
A0215
|
Jack V Butterfield Invest.
|
MI
|
Broker Dealer
|
|
A5962
|
Jacques Financial LLC
|
MD
|
Broker Dealer
|
|
A0136
|
James I Black & Company
|
FL
|
Broker Dealer
|
|
A6140
|
James T. Borello & Co.
|
IL
|
Broker Dealer
|
|
A7305
|
Jane Street Capital, LLC
|
NY
|
Broker Dealer
|
|
A0785
|
Janney Montgomery Scott LLC
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A6925
|
JBS Liberty Securities, Inc.
|
NC
|
Broker Dealer
|
|
A1287
|
JD Seibert & Company, Inc.
|
OH
|
Broker Dealer
|
|
A3843
|
JDL Securities Corporation
|
CA
|
Broker Dealer
|
|
A5232
|
Jefferies & Company, Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5551
|
JetTrade, Inc.
|
OH
|
Broker Dealer
|
|
A5141
|
JH Darbie & Co., Inc.
|
NY
|
Broker Dealer
|
|
A6583
|
JHS Capital Advisors LLC.
|
FL
|
Broker Dealer
|
|
A0668
|
JJB Hilliard, WL Lyons, LLC
|
KY
|
Broker Dealer/Municipal Advisor
|
|
A5967
|
JK Securities, Inc.
|
SC
|
Broker Dealer
|
|
A0786
|
JKR & Co., Inc.
|
CA
|
Broker Dealer
|
|
A0797
|
Joe Jolly & Co., Inc.
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A7135
|
John Carris Investments, LLC
|
NY
|
Broker Dealer
|
|
A5840
|
John Hancock Distributors, LLC
|
NY
|
Broker Dealer
|
|
A6971
|
John Hancock Funds, LLC
|
MA
|
Broker Dealer
|
|
A6887
|
John Thomas Financial
|
NY
|
Broker Dealer
|
|
A2402
|
John W Loofbourow Assoc.
|
NY
|
Broker Dealer
|
|
A2998
|
Johnson, Rice & Company
|
LA
|
Broker Dealer
|
|
A0795
|
Johnston, Lemon & Co., Inc.
|
DC
|
Broker Dealer
|
|
A6658
|
Joseph Grace
|
NY
|
Broker Dealer
|
|
A5164
|
Joseph Gunnar & Co. LLC
|
NY
|
Broker Dealer
|
|
A5103
|
JP Turner & Company, LLC
|
GA
|
Broker Dealer
|
|
K0403
|
JPMorgan Distribution Services, Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A7224
|
JRL CAPITAL CORPORATION
|
CA
|
Broker Dealer
|
|
A7209
|
JSL Securities, Inc.
|
GA
|
Broker Dealer
|
|
A5710
|
JVB Financial Group, LLC
|
FL
|
Broker Dealer
|
|
A3698
|
JW Korth & Company
|
MI
|
Broker Dealer
|
|
A4849
|
JW Millegan, Inc.
|
OR
|
Broker Dealer
|
|
A6367
|
K.W. Chambers & Co.
|
MO
|
Broker Dealer
|
|
A4274
|
KA Associates, Inc.
|
CA
|
Broker Dealer
|
|
A0806
|
Kahn Brothers LLC
|
NY
|
Broker Dealer
|
|
A1735
|
Kaiser and Company
|
WY
|
Broker Dealer/Municipal Advisor
|
|
A6482
|
Kalos Capital, Inc.
|
GA
|
Broker Dealer
|
|
A0813
|
Kashner Davidson Securities Co
|
FL
|
Broker Dealer
|
|
A6383
|
KC Brokerage Services, LLC
|
WA
|
Broker Dealer
|
|
A6440
|
KCD Financial, Inc.
|
WI
|
Broker Dealer
|
|
A7052
|
KCG Securities, LLC
|
UT
|
Broker Dealer
|
|
A2764
|
Kedem Capital Corporation
|
NY
|
Broker Dealer
|
|
A5150
|
Keefe, Bruyette & Woods, Inc.
|
NY
|
Broker Dealer
|
|
A0820
|
Keeley Investment Corp.
|
IL
|
Broker Dealer
|
|
A3440
|
Kenneth, Jerome & Company, Inc
|
NJ
|
Broker Dealer
|
|
A0823
|
Kensington Capital Corp.
|
NY
|
Broker Dealer
|
|
A2049
|
Kercheville & Company, Inc.
|
TX
|
Broker Dealer
|
|
A3479
|
Kern, Suslow Securities Inc.
|
NY
|
Broker Dealer
|
|
A2840
|
Kevin Hart Kornfield & Company
|
PA
|
Broker Dealer
|
|
A6708
|
Key Investment Services
|
OH
|
Broker Dealer
|
|
A7055
|
Key West Investments, LLC
|
CA
|
Broker Dealer
|
|
A0953
|
KeyBanc Capital Markets Inc.
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A5390
|
Keystone Capital Corporation
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A6199
|
Kildare Capital
|
PA
|
Broker Dealer
|
|
A4684
|
Kiley Partners, Inc.
|
FL
|
Broker Dealer
|
|
A0835
|
Kimelman & Baird, LLC
|
NY
|
Broker Dealer
|
|
A2193
|
Kinsell,Newcomb &De Dios, Inc.
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A6881
|
Kipling Jones & Co.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A0843
|
Kirk Securities Corporation
|
TX
|
Broker Dealer
|
|
A2856
|
KJM Securities, Inc.
|
NY
|
Broker Dealer
|
|
A3316
|
KMS Financial Services, Inc.
|
WA
|
Broker Dealer
|
|
A7128
|
Knight Capital Americas LLC.
|
NJ
|
Broker Dealer
|
|
A1632
|
Koonce Securities, Inc.
|
MD
|
Broker Dealer
|
|
A5250
|
Kovack Securities, Inc.
|
FL
|
Broker Dealer/Municipal Advisor
|
|
A6559
|
Kovitz Securities, LLC
|
IL
|
Broker Dealer
|
|
A5374
|
KR Securities, LLC
|
NJ
|
Broker Dealer
|
|
A2552
|
Krueger Brokerage, Inc.
|
IA
|
Broker Dealer
|
|
A4635
|
Kuehl Capital Corporation
|
NE
|
Broker Dealer/Municipal Advisor
|
|
A5976
|
Kuhns Brothers Securities Corporation
|
CT
|
Broker Dealer
|
|
A0854
|
Kuykendall & Schneider, Inc.
|
TX
|
Broker Dealer
|
|
A0805
|
KW Securities Corporation
|
CA
|
Broker Dealer
|
|
A3894
|
L & M Financial Services
|
OH
|
Broker Dealer
|
|
A4547
|
L.M. Kohn & Company
|
OH
|
Broker Dealer
|
|
A6055
|
LaBrunerie Financial Services, Inc.
|
MO
|
Broker Dealer
|
|
A0860
|
Ladenburg, Thalmann & Co., Inc
|
NY
|
Broker Dealer
|
|
A3082
|
Lafayette Investments, Inc
|
MD
|
Broker Dealer
|
|
A6385
|
Lafise Securities Corp
|
FL
|
Broker Dealer
|
|
A6038
|
Laidlaw and Company, UK, Ltd
|
NY
|
Broker Dealer
|
|
A5361
|
Lake Forest Securities LLC
|
IL
|
Broker Dealer
|
|
A2869
|
Lamon & Stern, Inc.
|
GA
|
Broker Dealer
|
|
A3381
|
Lancaster Pollard & Co.
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A5490
|
LANDAAS & COMPANY
|
WI
|
Broker Dealer
|
|
A3899
|
Landolt Securities, Inc.
|
WI
|
Broker Dealer
|
|
A4253
|
Lantern Investments, Inc.
|
NY
|
Broker Dealer
|
|
A6927
|
Lara, May & Associates, LLC
|
VA
|
Broker Dealer
|
|
A2649
|
Larimer Capital Corporation
|
CO
|
Broker Dealer
|
|
A7083
|
Larson Financial Securities, LLC
|
MO
|
Broker Dealer
|
|
A0859
|
LaSalle Street Securities, LLC
|
IL
|
Broker Dealer
|
|
A1967
|
Lawson Financial Corporation
|
AZ
|
Broker Dealer/Municipal Advisor
|
|
A7045
|
Lazard Capital Markets
|
NY
|
Broker Dealer
|
|
A2841
|
LB Fisher & Company
|
TX
|
Broker Dealer
|
|
A6757
|
LCS Securities, LLC
|
NY
|
Broker Dealer
|
|
A6907
|
Lebenthal & Co., LLC
|
NY
|
Broker Dealer
|
|
A5262
|
Leerink Swann LLC
|
MA
|
Broker Dealer
|
|
A6450
|
Legacy Asset Securities, Inc.
|
TX
|
Broker Dealer
|
|
A5800
|
Legend Equities Corporation
|
FL
|
Broker Dealer
|
|
A5289
|
Legend Securities, Inc.
|
NY
|
Broker Dealer
|
|
A6707
|
Legg Mason Investor Services, LLC
|
MD
|
Broker Dealer
|
|
A4752
|
Leigh Baldwin & Co., LLC
|
NY
|
Broker Dealer
|
|
A6686
|
Lek Securities Corporation
|
NY
|
Broker Dealer
|
|
A4502
|
Lenox Financial Services, Inc.
|
IL
|
Broker Dealer
|
|
A5127
|
Leonard Securities, Inc.
|
OK
|
Broker Dealer
|
|
A5322
|
Lesko Securities, Inc.
|
NY
|
Broker Dealer
|
|
A5733
|
Leumi Investment Services Inc.
|
NY
|
Broker Dealer
|
|
A0883
|
Levy, Harkins & Co., Inc.
|
NY
|
Broker Dealer
|
|
A4774
|
Lewis Young Robertson & Burnin
|
UT
|
Broker Dealer/Municipal Advisor
|
|
A3774
|
Lexington Investment Company,
|
KY
|
Broker Dealer
|
|
A6712
|
LFC Securities, LLC
|
DC
|
Broker Dealer/Municipal Advisor
|
|
A3572
|
Liberty Capital Investment Cor
|
OR
|
Broker Dealer
|
|
A5742
|
Liberty Group, LLC
|
CA
|
Broker Dealer
|
|
A6581
|
Liberty Partners Financial Services, LLC
|
CA
|
Broker Dealer
|
|
A5088
|
Lieblong & Associates, Inc.
|
AR
|
Broker Dealer
|
|
A5760
|
LifeMark Securities Corp
|
NY
|
Broker Dealer
|
|
A7179
|
LINCOLN DOUGLAS INVESTMENTS, LLC
|
OH
|
Broker Dealer
|
|
A2842
|
Lincoln Fin'l Advisors Corp.
|
IN
|
Broker Dealer
|
|
A0269
|
Lincoln Financial Securities Corporation
|
NH
|
Broker Dealer
|
|
A4178
|
Lincoln Investment Planning
|
PA
|
Broker Dealer
|
|
A6945
|
Livingston Securities,LLC.
|
NY
|
Broker Dealer
|
|
A4071
|
LJ Hart & Company
|
MO
|
Broker Dealer
|
|
A1349
|
LO Thomas & Co., Inc.
|
NJ
|
Broker Dealer
|
|
A6956
|
Lockton Financial Advisors,LLC
|
MO
|
Broker Dealer
|
|
A7239
|
Lodestar Securities Corp.
|
NY
|
Broker Dealer
|
|
A1547
|
Loeb Partners Corporation
|
NY
|
Broker Dealer
|
|
A3836
|
Lombard Securities Inc.
|
MD
|
Broker Dealer
|
|
A6599
|
Long Island Financial Group Inc.
|
NY
|
Broker Dealer
|
|
A5139
|
Loop Capital Markets, L.L.C.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A6193
|
Loria Financial Group, LLC
|
IL
|
Broker Dealer
|
|
A5419
|
Loring Ward Securities Inc.
|
CA
|
Broker Dealer
|
|
A4928
|
Lowell & Company
|
TX
|
Broker Dealer
|
|
A1145
|
LPL Financial Corporation
|
CA
|
Broker Dealer
|
|
A4862
|
LTC Investment Services, Inc.
|
CO
|
Broker Dealer
|
|
A7159
|
Lucia Securities, LLC
|
CA
|
Broker Dealer
|
|
A6328
|
Lucien, Stirling & Gray Financial Corp.
|
TX
|
Broker Dealer
|
|
A0594
|
M Griffith Investment Services Inc.
|
NY
|
Broker Dealer
|
|
A5560
|
M Holdings Securities, Inc.
|
OR
|
Broker Dealer
|
|
A5241
|
M&T Securities, Inc.
|
MD
|
Broker Dealer/Municipal Advisor
|
|
A6223
|
M.J. Whitman LLC
|
NY
|
Broker Dealer
|
|
A2421
|
Mack Investment Securities,Inc
|
IL
|
Broker Dealer
|
|
A6703
|
Madison Avenue Securities
|
CA
|
Broker Dealer
|
|
A4522
|
MAFG / RIA Services, Inc.
|
NJ
|
Broker Dealer
|
|
A2986
|
Maine Securities Corporation
|
ME
|
Broker Dealer
|
|
A6935
|
Mainline West Municipal Securities, LLC
|
CO
|
Broker Dealer
|
|
A7247
|
Maitland Securities, Inc.
|
FL
|
Broker Dealer
|
|
A6641
|
Managed Account Services, LLC
|
PA
|
Broker Dealer
|
|
A5529
|
Manarin Securities Corporation
|
NE
|
Broker Dealer
|
|
A0922
|
MANNA Capital Management
|
VA
|
Broker Dealer
|
|
B0125
|
Manufacturers and Traders Trust Co.
|
MD
|
Bank Dealer/Municipal Advisor
|
|
A5574
|
Maplewood Investment Advisors
|
TX
|
Broker Dealer
|
|
A2857
|
Marc J Lane & Company
|
IL
|
Broker Dealer
|
|
A5929
|
Mark Stewart Securities, Inc.
|
CA
|
Broker Dealer
|
|
A7097
|
MarketAxess Corporation
|
NY
|
Broker Dealer
|
|
A5242
|
Marquis Financial Services
|
CA
|
Broker Dealer
|
|
A2770
|
Marsco Investment Corporation
|
NJ
|
Broker Dealer
|
|
A1037
|
Martin Nelson & Co., Inc.
|
WA
|
Broker Dealer/Municipal Advisor
|
|
A4465
|
Mason Securities, Inc.
|
VA
|
Broker Dealer
|
|
A5173
|
Matrix Capital Group, Inc.
|
NY
|
Broker Dealer
|
|
A6154
|
Maxim Group LLC
|
NY
|
Broker Dealer
|
|
A6891
|
Maxwell Simon Inc.
|
MN
|
Broker Dealer
|
|
A7132
|
MBS Capital Markets, LLC
|
FL
|
Broker Dealer
|
|
A4545
|
MBSC Securities Corporation
|
NY
|
Broker Dealer
|
|
A5345
|
McAdams Wright Ragen, Inc.
|
WA
|
Broker Dealer
|
|
A2389
|
McClurg Capital Corporation
|
CA
|
Broker Dealer
|
|
A0951
|
McCourtney-Breckenridge Company
|
MO
|
Broker Dealer
|
|
A7134
|
McDermott Investment Services, LLC
|
PA
|
Broker Dealer
|
|
A7264
|
MCG Securities LLC
|
PA
|
Broker Dealer
|
|
A7120
|
McLaughlin Ryder Investments, Inc.
|
VA
|
Broker Dealer
|
|
A0962
|
McLiney and Company
|
MO
|
Broker Dealer/Municipal Advisor
|
|
A0964
|
McMillion Securities, Inc.
|
NC
|
Broker Dealer
|
|
A6180
|
McNally Financial Services Corporation
|
TX
|
Broker Dealer
|
|
A6651
|
MDB Capital Group, LLC
|
CA
|
Broker Dealer
|
|
A0028
|
ME Allison & Co., Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A6835
|
Meadowvale Advisors, LLC
|
NY
|
Broker Dealer
|
|
A0970
|
Means Investment Company, Inc.
|
ME
|
Broker Dealer
|
|
A7059
|
Melio Securities Company, LLC
|
IL
|
Broker Dealer
|
|
A4181
|
Mellin Securities, Inc.
|
IL
|
Broker Dealer
|
|
A4105
|
Melvin Securities, LLC
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A6540
|
Mercadien Securities, LLC
|
NJ
|
Broker Dealer
|
|
A6523
|
Mercantil CommerceBank Investment Services
|
FL
|
Broker Dealer
|
|
A0660
|
Merchant Capital, LLC
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A5885
|
Meridien Financial Group, Inc.
|
RI
|
Broker Dealer
|
|
A6512
|
Meritus Financial Group, Inc.
|
IL
|
Broker Dealer
|
|
A2141
|
Merrill Lynch Prof. Clearing
|
NY
|
Broker Dealer
|
|
A0976
|
Merrill Lynch, Pierce, Fenner
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A6443
|
Merrimac Corporate Securities, Inc.
|
FL
|
Broker Dealer
|
|
A6350
|
Merrion Securities, LLC
|
NJ
|
Broker Dealer
|
|
A0980
|
Mesirow Financial Inc
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A5332
|
MetLife Securities, Inc.
|
NJ
|
Broker Dealer
|
|
A4378
|
Meyers Associates, L.P.
|
NY
|
Broker Dealer
|
|
A0636
|
MF Global Inc.
|
NY
|
Broker Dealer
|
|
A6355
|
MFR Securities, Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5839
|
MFS Fund Distributors, Inc.
|
MA
|
Broker Dealer
|
|
A6185
|
MGO Securities Corp.
|
OH
|
Broker Dealer
|
|
A5567
|
Michigan Securities, Inc.
|
MI
|
Broker Dealer
|
|
A1965
|
Mid Atlantic Capital Corp.
|
PA
|
Broker Dealer
|
|
A3040
|
Mid-Atlantic Securities, Inc.
|
NC
|
Broker Dealer
|
|
A0988
|
Mid-Ohio Securities Corp.
|
OH
|
Broker Dealer
|
|
A5862
|
MidAmerica Financial Svcs, Inc
|
MO
|
Broker Dealer
|
|
A3089
|
Middlegate Securities, Ltd.
|
NY
|
Broker Dealer
|
|
A5508
|
Midwestern Secs Trading Co LLC
|
IL
|
Broker Dealer
|
|
A6493
|
Miller Tabak & Co., LLC
|
NY
|
Broker Dealer
|
|
A7123
|
Millington Securities, Inc.
|
IL
|
Broker Dealer
|
|
A3485
|
Minnesota Valley Investments
|
MN
|
Broker Dealer
|
|
A7020
|
MINT Brokers
|
FL
|
Broker Dealer
|
|
A4652
|
Mischler Financial Group, Inc.
|
CA
|
Broker Dealer
|
|
A7046
|
Mitsubishi UFJ Securities (USA) Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5763
|
MKG Financial Group, Inc.
|
OR
|
Broker Dealer
|
|
A1893
|
MML Investors Services, Inc.
|
MA
|
Broker Dealer
|
|
A5260
|
Moloney Securities Co., Inc.
|
MO
|
Broker Dealer
|
|
A6421
|
Monarch Capital Group, LLC
|
NY
|
Broker Dealer
|
|
A3326
|
Money Concepts Capital Corp
|
FL
|
Broker Dealer
|
|
A1000
|
Monness, Crespi, Hardt & Co.,
|
NY
|
Broker Dealer
|
|
A5265
|
Montag & Joselson
|
NY
|
Broker Dealer
|
|
A7142
|
Montage Securities, LLC
|
KS
|
Broker Dealer
|
|
A6502
|
Montecito Advisors, Inc.
|
CA
|
Broker Dealer
|
|
A1007
|
Moors & Cabot
|
MA
|
Broker Dealer/Municipal Advisor
|
|
A1009
|
Morgan Keegan & Company
|
TN
|
Broker Dealer/Municipal Advisor
|
|
A1012
|
Morgan Stanley & Co. LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A7007
|
Morgan Stanley Smith Barney LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A6406
|
Morgan Wilshire Securities, Inc.
|
NY
|
Broker Dealer
|
|
A5906
|
Morris Group Inc.
|
IN
|
Broker Dealer
|
|
A1288
|
Morton Seidel & Company, Inc
|
CA
|
Broker Dealer
|
|
A6479
|
Moss Adams Securities & Insurance LLC
|
WA
|
Broker Dealer
|
|
A1045
|
MountainView Securities LLC
|
CO
|
Broker Dealer
|
|
A3026
|
MR Beal Company
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5638
|
MS Howells & Co.
|
AZ
|
Broker Dealer
|
|
A2362
|
MTL Equity Products, Inc.
|
IL
|
Broker Dealer
|
|
A3678
|
Multi-Bank Securities, Inc.
|
MI
|
Broker Dealer
|
|
A7173
|
Mundial Financial Group, LLC
|
CA
|
Broker Dealer
|
|
A5738
|
Municipal Capital Markets Grp., Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A1475
|
Muriel Siebert & Co., Inc.
|
NY
|
Broker Dealer
|
|
A4351
|
Murphy & Durieu
|
NY
|
Broker Dealer
|
|
A6819
|
Murray Securities, Inc.
|
TX
|
Broker Dealer
|
|
A5988
|
Mutual Funds Associates, Inc.
|
NY
|
Broker Dealer
|
|
A5798
|
Mutual of Omaha Investor Svcs
|
NE
|
Broker Dealer
|
|
A1806
|
Mutual Securities, Inc.
|
CA
|
Broker Dealer
|
|
A2596
|
Mutual Trust Co.of America Sec
|
FL
|
Broker Dealer
|
|
A4870
|
MV Securities Group, Inc.
|
TX
|
Broker Dealer
|
|
A5820
|
MWA Financial Services, Inc.
|
IL
|
Broker Dealer
|
|
A7267
|
MYD Market, Inc.
|
NY
|
Broker Dealer
|
|
A6841
|
N.E. Private Client Advisors, Ltd.
|
RI
|
Broker Dealer
|
|
A6643
|
NAFA Capital Markets, LLC
|
OK
|
Broker Dealer/Municipal Advisor
|
|
A4075
|
Nancy Barron & Associates Inc.
|
KY
|
Broker Dealer
|
|
A5690
|
Nanes Delorme Capital Management LLC
|
NY
|
Broker Dealer
|
|
A5959
|
National Alliance Securities Corporation
|
TX
|
Broker Dealer
|
|
A1562
|
National Financial Serv.Corp LLC
|
MA
|
Broker Dealer
|
|
A5231
|
National Planning Corp.
|
CA
|
Broker Dealer
|
|
A1031
|
National Securities Corp.
|
WA
|
Broker Dealer
|
|
A5177
|
Nations Financial Group, Inc.
|
IA
|
Broker Dealer
|
|
A6103
|
Nationwide Planning Associates, Inc
|
NJ
|
Broker Dealer
|
|
A6153
|
Nationwide Securities, LLC
|
OH
|
Broker Dealer
|
|
A7246
|
NATIVEONE INSTITUTIONAL TRADING, LLC
|
NY
|
Broker Dealer
|
|
A7223
|
Natixis Securities Americas LLC
|
NY
|
Broker Dealer
|
|
A5070
|
Navaid Financial Services,Inc.
|
PA
|
Broker Dealer
|
|
A6737
|
Navy Federal Brokerage Services, LLC
|
VA
|
Broker Dealer
|
|
A4744
|
NBC Securities, Inc.
|
AL
|
Broker Dealer
|
|
A7003
|
NDX Trading, Inc.
|
MN
|
Broker Dealer
|
|
A6472
|
Needham & Company, LLC
|
NY
|
Broker Dealer
|
|
A1621
|
Neidiger, Tucker, Bruner, Inc.
|
CO
|
Broker Dealer
|
|
A4311
|
Nelkin Capital Management, Inc
|
NY
|
Broker Dealer
|
|
A5619
|
Nelnet Capital LLC
|
NE
|
Broker Dealer
|
|
A6178
|
Nelson Invest Brokerage Services, Inc.
|
FL
|
Broker Dealer
|
|
A5975
|
Nelson Securities, Inc.
|
WA
|
Broker Dealer
|
|
A1038
|
Nestlerode & Loy, Inc.
|
PA
|
Broker Dealer
|
|
A5165
|
Netherland Securities, Inc.
|
TX
|
Broker Dealer
|
|
A1761
|
Network 1 Financial Securities
|
NJ
|
Broker Dealer
|
|
A1039
|
Neuberger Berman LLC
|
NY
|
Broker Dealer
|
|
A1826
|
New England Securities
|
NJ
|
Broker Dealer
|
|
A5548
|
New Horizon Asset Mngmt Group LLC
|
NY
|
Broker Dealer
|
|
A5833
|
Newbridge Securities Corp.
|
FL
|
Broker Dealer
|
|
A6414
|
Newbury Street Capital L.P.
|
MA
|
Broker Dealer
|
|
A6517
|
Newedge USA, LLC
|
NY
|
Broker Dealer
|
|
A6400
|
NewOak Capital Markets LLC
|
NY
|
Broker Dealer
|
|
A2354
|
Newport Coast Securities, Inc.
|
CA
|
Broker Dealer
|
|
A1032
|
Newport Securities Corporation
|
CA
|
Broker Dealer
|
|
A5384
|
Next Financial Group, Inc.
|
TX
|
Broker Dealer
|
|
A5273
|
NFP Securities Inc.
|
TX
|
Broker Dealer
|
|
A6868
|
NGC Financial, LLC
|
NY
|
Broker Dealer
|
|
A7118
|
NI Advisors Inc.
|
CA
|
Broker Dealer
|
|
A5594
|
NIA Securities, LLC
|
NJ
|
Broker Dealer
|
|
A6718
|
Niagara International Capital Limited
|
NY
|
Broker Dealer
|
|
A6267
|
Nicol Investors Corporation
|
IL
|
Broker Dealer
|
|
A6702
|
Nikoh Securities Corporation
|
IL
|
Broker Dealer
|
|
A7281
|
NMS Financial Services, LLC
|
CA
|
Broker Dealer
|
|
A4017
|
Noble Internat'l. Invs., Inc.
|
FL
|
Broker Dealer
|
|
A6826
|
North Nassau Advisors, LLC
|
NY
|
Broker Dealer
|
|
A3711
|
North Ridge Securities Corp.
|
NY
|
Broker Dealer
|
|
A6973
|
North South Capital, LLC
|
IL
|
Broker Dealer
|
|
A0046
|
North Star Investment Services, Inc.
|
IL
|
Broker Dealer
|
|
A3563
|
Northeast Securities, Inc.
|
PA
|
Broker Dealer
|
|
A7251
|
Northeastern Financial Group, Inc.
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A4890
|
Northern Capital Securities
|
MA
|
Broker Dealer
|
|
B0232
|
Northern Trust Company, (The)
|
IL
|
Bank Dealer
|
|
A0654
|
Northern Trust Securities,Inc.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A4861
|
Northland Securities, Inc.
|
MN
|
Broker Dealer/Municipal Advisor
|
|
A6135
|
Northstar Financial Partners, Inc.
|
MI
|
Broker Dealer
|
|
A6916
|
Northwest Financial Group, LLC
|
VA
|
Broker Dealer
|
|
A6137
|
Northwest Investment Advisors, Inc.
|
WA
|
Broker Dealer
|
|
A5864
|
Northwestern Mutual Invmt Svcs
|
WI
|
Broker Dealer
|
|
A3750
|
NPA Financial Services, Inc
|
NJ
|
Broker Dealer
|
|
A6720
|
NPB Financial Group, LLC
|
CA
|
Broker Dealer
|
|
A1062
|
Nuveen Securities, LLC
|
IL
|
Broker Dealer
|
|
A2409
|
NW Capital Markets Inc.
|
NJ
|
Broker Dealer
|
|
A5877
|
NYLIFE Distributors LLC
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A4166
|
NYLife Securities LLC
|
NY
|
Broker Dealer
|
|
A6402
|
NYPPEX, LLC
|
NY
|
Broker Dealer
|
|
A1067
|
O'Brien and Shepard, Inc.
|
NJ
|
Broker Dealer
|
|
A6930
|
O'Connor & Company Securities, Inc.
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A3378
|
O.N. Equity Sales Company
|
OH
|
Broker Dealer
|
|
A6800
|
Oak Grove Investment Services, Inc.
|
IL
|
Broker Dealer
|
|
A7277
|
Oak Hills Securities, Inc
|
OK
|
Broker Dealer
|
|
A3870
|
Oak Tree Securities, Inc.
|
CA
|
Broker Dealer
|
|
A5021
|
Oberweis Securities, Inc.
|
IL
|
Broker Dealer
|
|
A6457
|
OBEX Securities LLC
|
NY
|
Broker Dealer
|
|
A5670
|
Obsidian Financial Group LLC
|
NY
|
Broker Dealer
|
|
A7176
|
Ocean Cross Capital Markets LLC
|
CT
|
Broker Dealer
|
|
A7033
|
Odeon Capital Group LLC
|
NY
|
Broker Dealer
|
|
A4154
|
OFG Financial Services, Inc.
|
KS
|
Broker Dealer
|
|
A3492
|
Ohanesian/Lecours, Inc.
|
CT
|
Broker Dealer
|
|
A1073
|
Olmsted & Mulhall, Inc.
|
MI
|
Broker Dealer
|
|
A7071
|
Olympia Asset Management, Ltd.
|
NY
|
Broker Dealer
|
|
A5882
|
Omega Securities, Inc.
|
TX
|
Broker Dealer
|
|
A5227
|
Oneamerica Securities, Inc.
|
IN
|
Broker Dealer
|
|
A5693
|
Online Brokerage Services, Inc.
|
OH
|
Broker Dealer
|
|
A7130
|
OpenX Markets, LLC
|
NY
|
Broker Dealer
|
|
A1926
|
Oppenheimer & Close, Inc.
|
NY
|
Broker Dealer
|
|
A0455
|
Oppenheimer & Co. Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5846
|
OppenheimerFunds Distributor Inc.
|
NY
|
Broker Dealer
|
|
A5808
|
optionsXpress, Inc.
|
IL
|
Broker Dealer
|
|
A4113
|
Oriental Financial Services Corp.
|
PR
|
Broker Dealer
|
|
A2175
|
Pacific Commonwealth Corp.
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A2176
|
Pacific Investment Secs. Corp.
|
OR
|
Broker Dealer
|
|
A5843
|
Packerland Brokerage Services
|
WI
|
Broker Dealer
|
|
A1507
|
Painter, Smith and Gorian Inc.
|
CA
|
Broker Dealer
|
|
A6730
|
Papamarkou Wellner & Company, Inc.
|
NY
|
Broker Dealer
|
|
A6117
|
Paradigm Equities, Inc.
|
MI
|
Broker Dealer
|
|
A7028
|
Pariter Securities, LLC
|
PR
|
Broker Dealer
|
|
A5383
|
Park Avenue Securities
|
NY
|
Broker Dealer
|
|
A6875
|
Parsonex Securities, Inc.
|
CO
|
Broker Dealer
|
|
A3106
|
Partners Invstmt Network, Inc
|
WA
|
Broker Dealer
|
|
A6741
|
Paul P. St. Onge Company
|
RI
|
Broker Dealer
|
|
A5784
|
PCBB Capital Markets, LLC
|
CA
|
Broker Dealer
|
|
A3649
|
Peachtree Capital Corporation
|
GA
|
Broker Dealer
|
|
A7188
|
Peak Brokerage Services, LLC
|
GA
|
Broker Dealer
|
|
A5194
|
Penates Group, Inc.
|
AZ
|
Broker Dealer
|
|
A3419
|
Penrod Financial Services, Inc
|
MO
|
Broker Dealer
|
|
A6983
|
Penserra Securities LLC
|
NY
|
Broker Dealer
|
|
A1692
|
People's Securities, Inc.
|
CT
|
Broker Dealer
|
|
A6011
|
Peraza Capital and Investments, LLC
|
FL
|
Broker Dealer
|
|
A6735
|
Percival Financial Partners, Ltd.
|
MD
|
Broker Dealer
|
|
A4481
|
Performance Trust Capital Partners, LLC
|
IL
|
Broker Dealer
|
|
A1111
|
Perkins, Smart & Boyd, Inc.
|
KS
|
Broker Dealer
|
|
A5989
|
Perryman Securities, Inc.
|
TX
|
Broker Dealer
|
|
A6341
|
Pershing Advisor Solutions LLC
|
NJ
|
Broker Dealer
|
|
A0399
|
Pershing LLC
|
NJ
|
Broker Dealer
|
|
A2585
|
Peter R Mack & Co., Inc.
|
CT
|
Broker Dealer
|
|
A5681
|
Petersen Investments Inc.
|
NJ
|
Broker Dealer
|
|
A1116
|
Pflueger & Baerwald, Inc.
|
CA
|
Broker Dealer
|
|
A5904
|
PFM Fund Distributors, Inc.
|
PA
|
Broker Dealer
|
|
A5828
|
PFS Investments Inc.
|
GA
|
Broker Dealer
|
|
A4031
|
Philadelphia Brokerage Corporation
|
PA
|
Broker Dealer
|
|
A6171
|
Philip J. Greenblatt Securities Ltd.
|
IL
|
Broker Dealer
|
|
A4649
|
Philips & Company Securities
|
OR
|
Broker Dealer
|
|
A7265
|
Piedmont Securities LLC
|
NC
|
Broker Dealer/Municipal Advisor
|
|
A7312
|
Pierpont Securities LLC
|
CT
|
Broker Dealer
|
|
A6918
|
Pinnacle Investments, LLC
|
NY
|
Broker Dealer
|
|
A1126
|
Piper Jaffray & Co.
|
MN
|
Broker Dealer/Municipal Advisor
|
|
A6370
|
Place Trade Financial, Inc.
|
NC
|
Broker Dealer
|
|
A5799
|
PlanMember Securities Corp.
|
CA
|
Broker Dealer
|
|
A6377
|
Planned Financial Programs, Inc.
|
NY
|
Broker Dealer
|
|
A1128
|
Planned Investment Co., Inc.
|
IN
|
Broker Dealer
|
|
A6513
|
Planners Financial Services, Inc.
|
MN
|
Broker Dealer
|
|
A4912
|
PMA Securities, Inc.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A4897
|
PMK Securities & Research,Inc.
|
FL
|
Broker Dealer
|
|
A2091
|
PNC Capital Markets LLC
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A6495
|
PNC Investments LLC
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A2578
|
Podesta & Co.
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A7121
|
Point Capital Markets, Inc.
|
NJ
|
Broker Dealer
|
|
A5489
|
Polar Investment Counsel, Inc.
|
MN
|
Broker Dealer
|
|
A2388
|
Ponder Securities, Inc.
|
IL
|
Broker Dealer
|
|
A1555
|
Popular Securities, Inc.
|
PR
|
Broker Dealer/Municipal Advisor
|
|
A5238
|
Port Securities, Inc.
|
CA
|
Broker Dealer
|
|
A0742
|
Porter, White & Company, Inc.
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A2647
|
Portfolio Brokerage Services
|
CO
|
Broker Dealer
|
|
A6097
|
Portfolio Resources Group, Inc.
|
FL
|
Broker Dealer
|
|
A1723
|
Portsmouth Financial Services
|
CA
|
Broker Dealer
|
|
A7162
|
Potomac Investment Co
|
MD
|
Broker Dealer
|
|
A3877
|
Powell Capital Markets, Inc.
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A6290
|
PPA Investments, Inc.
|
GA
|
Broker Dealer
|
|
A5417
|
PR Gilboy & Associates, Inc.
|
NC
|
Broker Dealer
|
|
A0649
|
PR Herzig & Co., Inc.
|
NY
|
Broker Dealer
|
|
A2940
|
Prager & Co., LLC
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A5767
|
Preferred Client Group, Inc.
|
TX
|
Broker Dealer
|
|
A3945
|
Presidential Brokerage, Inc.
|
CO
|
Broker Dealer
|
|
A3629
|
Prime Capital Services, Inc.
|
NY
|
Broker Dealer
|
|
A5350
|
Primesolutions Securities, Inc
|
OH
|
Broker Dealer
|
|
A4144
|
Princor Financial Service Corp
|
IA
|
Broker Dealer
|
|
A7023
|
Private Client Services, LLC
|
KY
|
Broker Dealer
|
|
A7087
|
Private Portfolio of San Diego, Inc.
|
CA
|
Broker Dealer
|
|
A2137
|
ProEquities,Inc
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A2876
|
Progressive Asset Management,
|
CA
|
Broker Dealer
|
|
A0137
|
Prospera Financial Services, Inc.
|
TX
|
Broker Dealer
|
|
A1150
|
Protected Investors of America
|
CA
|
Broker Dealer
|
|
A6869
|
Provident Private Capital Partners, Inc.
|
PA
|
Broker Dealer
|
|
A5286
|
Pruco Securities, LLC
|
NJ
|
Broker Dealer
|
|
A5937
|
Prudential Investment Management Services, LLC
|
NJ
|
Broker Dealer
|
|
A2232
|
PSA Equities, Inc.
|
MD
|
Broker Dealer
|
|
A5779
|
PTI Securities & Futures, L.P.
|
IL
|
Broker Dealer
|
|
A6234
|
PTS Brokerage, LLC
|
NJ
|
Broker Dealer
|
|
B0462
|
Pulaski Bank
|
MO
|
Bank Dealer
|
|
A5582
|
Puplava Securities, Inc.
|
CA
|
Broker Dealer
|
|
A6943
|
Puritan Brokerage Services, Inc.
|
TX
|
Broker Dealer
|
|
A4549
|
Purshe Kaplan Sterling Invs.
|
NY
|
Broker Dealer
|
|
A6483
|
Pursuit Partners, LLC
|
CT
|
Broker Dealer
|
|
A5665
|
Putnam Retail Management Limited Partnership
|
MA
|
Broker Dealer
|
|
A6882
|
PWA Securities, Inc.
|
PA
|
Broker Dealer
|
|
A4326
|
PWMCO, LLC
|
IL
|
Broker Dealer
|
|
A6742
|
Quayle & Co., Securities
|
MI
|
Broker Dealer
|
|
A5673
|
Queens Road Securities
|
NC
|
Broker Dealer
|
|
A3190
|
Quest Capital Strategies, Inc.
|
CA
|
Broker Dealer
|
|
A4213
|
Quest Securities Inc.
|
CA
|
Broker Dealer
|
|
A5475
|
Questar Capital Corporation
|
MN
|
Broker Dealer
|
|
A1157
|
Quincy Cass Associates, Inc.
|
CA
|
Broker Dealer
|
|
A6847
|
Quoin Capital LLC
|
PA
|
Broker Dealer
|
|
A1600
|
R H Investment Corporation
|
CA
|
Broker Dealer
|
|
A1887
|
R Seelaus & Co., Inc.
|
NJ
|
Broker Dealer
|
|
A4244
|
R&R Planning Group LTD
|
NY
|
Broker Dealer
|
|
A6526
|
R.W. Towt & Associates
|
CA
|
Broker Dealer
|
|
A3380
|
Rafferty Capital Markets, Inc.
|
NY
|
Broker Dealer
|
|
A6549
|
Rainier Securities, LLC
|
WA
|
Broker Dealer
|
|
A1165
|
Ramirez & Co., Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A5992
|
Rampart Financial Services, Inc.
|
PA
|
Broker Dealer
|
|
A1172
|
Raymond James & Assoc., Inc.
|
FL
|
Broker Dealer/Municipal Advisor
|
|
A7269
|
Raymond James (USA) Ltd.
|
BC
|
Broker Dealer
|
|
A0717
|
Raymond James Financial Svcs. Inc.
|
FL
|
Broker Dealer/Municipal Advisor
|
|
A7254
|
RBC Capital Markets Arbitrage S.A.
|
NY
|
Broker Dealer
|
|
A4258
|
RBC Capital Markets LLC
|
MN
|
Broker Dealer/Municipal Advisor
|
|
A4655
|
RD Capital Group
|
PR
|
Broker Dealer
|
|
A5683
|
RDM Investments Services
|
CT
|
Broker Dealer
|
|
A2989
|
RDSC, LLC
|
OH
|
Broker Dealer
|
|
A3567
|
Red Capital Markets, LLC
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A2014
|
Regal Securities, Inc.
|
IL
|
Broker Dealer
|
|
A4118
|
Regional Brokers, Inc.
|
PA
|
Broker Dealer
|
|
A4320
|
Register Financial Associates, Inc.
|
GA
|
Broker Dealer
|
|
A1178
|
Reid and Associates
|
NY
|
Broker Dealer
|
|
A6791
|
Reliance Worldwide Investments, LLC
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A4393
|
Rensselaer Securities Corp.
|
NY
|
Broker Dealer
|
|
A1162
|
Repex & Co., Inc.
|
NJ
|
Broker Dealer
|
|
A5692
|
Resource Horizons Group LLC
|
GA
|
Broker Dealer
|
|
A5470
|
Retirement Resources Investment Corp
|
MA
|
Broker Dealer
|
|
A6784
|
Reuven Enterprises Securities Division Inc.
|
NY
|
Broker Dealer
|
|
A2725
|
Revere Securities Corp.
|
NY
|
Broker Dealer
|
|
A0862
|
RF Lafferty and Company
|
NY
|
Broker Dealer
|
|
A6967
|
RG Knox Company, LLC
|
UT
|
Broker Dealer/Municipal Advisor
|
|
A2796
|
Rhodes Securities, Inc.
|
TX
|
Broker Dealer
|
|
A2966
|
Rice Securities, LLC
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A1193
|
Richards, Merrill & Peterson,
|
WA
|
Broker Dealer
|
|
A2697
|
Rideau Lyons & Co.
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A5911
|
Ridgeway & Conger, Inc.
|
NY
|
Broker Dealer
|
|
A2334
|
Ridgewood Associates Inc. NJ
|
NJ
|
Broker Dealer
|
|
A4199
|
Riedl First Securities Co. of Kansas
|
KS
|
Broker Dealer
|
|
A2781
|
RIM Securities LLC
|
NY
|
Broker Dealer
|
|
A5079
|
RiverStone Wealth Management, Inc.
|
TX
|
Broker Dealer
|
|
A5447
|
Riviere Securities Ltd.
|
TX
|
Broker Dealer
|
|
A1196
|
RJJ Pasadena Securities, Inc.
|
CA
|
Broker Dealer
|
|
A3333
|
RM Duncan Securities, Inc.
|
AR
|
Broker Dealer
|
|
A4590
|
RM Stark & Co.
|
FL
|
Broker Dealer
|
|
A7252
|
RNA CAPITAL, INC.
|
NC
|
Broker Dealer
|
|
A6002
|
RNR Securities, L.L.C.
|
NY
|
Broker Dealer
|
|
A4721
|
Robert Blum Municipals, Inc.
|
CA
|
Broker Dealer
|
|
A3991
|
Robert R Meredith & Co., Inc.
|
NY
|
Broker Dealer
|
|
A0079
|
Robert W Baird & Co., Inc.
|
WI
|
Broker Dealer/Municipal Advisor
|
|
A2790
|
Roberts & Ryan Investments Inc
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A1209
|
Robinson & Lukens
|
VA
|
Broker Dealer
|
|
A1205
|
Robinson & Robinson Inc.
|
PA
|
Broker Dealer
|
|
A6991
|
Rockfleet Financial Services, Inc.
|
NY
|
Broker Dealer
|
|
A5639
|
Rockwell Fin'l Grp Inc, (The)
|
NY
|
Broker Dealer
|
|
A6866
|
Rockwell Global Capital LLC
|
NY
|
Broker Dealer
|
|
A6811
|
Rockwell Securities LLC
|
NY
|
Broker Dealer
|
|
A2148
|
Rodgers Brothers, Inc.
|
PA
|
Broker Dealer
|
|
A6032
|
Rogan & Associates, Inc.
|
FL
|
Broker Dealer
|
|
A1214
|
Romano Brothers & Company
|
IL
|
Broker Dealer
|
|
A1218
|
Roosevelt & Cross Incorporated
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A3543
|
Ross, Sinclaire & Associates, LLC
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A3923
|
Roth Capital Partners, LLC
|
CA
|
Broker Dealer
|
|
A6245
|
Rothman Securities, Inc.
|
PA
|
Broker Dealer
|
|
A1231
|
Rothschild Investment Corp.
|
IL
|
Broker Dealer
|
|
A1233
|
Rothschild Lieberman, Ltd.
|
CT
|
Broker Dealer
|
|
A3249
|
Royal Alliance Associates Inc.
|
NY
|
Broker Dealer
|
|
A1236
|
Royal Securities Co.
|
MI
|
Broker Dealer
|
|
A7106
|
RP Capital, LLC
|
WA
|
Broker Dealer
|
|
A1238
|
Ruane, Cunniff & Goldfarb LLC
|
NY
|
Broker Dealer
|
|
A6238
|
Russell Implementation Services Inc.
|
WA
|
Broker Dealer
|
|
A3942
|
RW Pressprich & Co., Inc.
|
NY
|
Broker Dealer
|
|
A2246
|
RW Smith & Associates, Inc.
|
WA
|
Broker Dealer
|
|
A4827
|
Ryan Financial, Inc.
|
MA
|
Broker Dealer
|
|
A6330
|
S.L. Reed & Company
|
CA
|
Broker Dealer
|
|
A6970
|
Sabadell Securities USA, Inc.
|
FL
|
Broker Dealer
|
|
A6816
|
Safeguard Securities, Inc.
|
OH
|
Broker Dealer
|
|
A1249
|
Sage, Rutty & Co., Inc.
|
NY
|
Broker Dealer
|
|
A6645
|
Sagepoint Financial, Inc.
|
NY
|
Broker Dealer
|
|
A7280
|
Salomon Whitney LLC
|
NY
|
Broker Dealer
|
|
A6695
|
SAMCO CAPITAL MARKETS, INC.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A5924
|
Sammons Securities Company, LLC
|
MI
|
Broker Dealer
|
|
A7212
|
Sanctuary Securities, LLC
|
CA
|
Broker Dealer
|
|
A5732
|
Sanderlin Securities LLC
|
TN
|
Broker Dealer
|
|
A2908
|
Sanders Morris Harris Inc.
|
TX
|
Broker Dealer
|
|
A3667
|
Sandgrain Securities LLC
|
NY
|
Broker Dealer
|
|
A4361
|
Sandler O'Neill & Partners, LP
|
NY
|
Broker Dealer
|
|
A0125
|
Sanford C Bernstein & Co.
|
NY
|
Broker Dealer
|
|
A4973
|
Santander Securities
|
PR
|
Broker Dealer/Municipal Advisor
|
|
A5215
|
Saperston Asset Mngmt., Inc.
|
NY
|
Broker Dealer
|
|
A2625
|
Saturna Brokerage Services, Inc.
|
WA
|
Broker Dealer
|
|
A3653
|
Sauer, Dazey Investment Co.
|
MO
|
Broker Dealer
|
|
A5916
|
Saxony Securities, Inc.
|
MO
|
Broker Dealer
|
|
A3662
|
Saybrook Capital Corporation
|
CA
|
Broker Dealer
|
|
A1093
|
SC Parker & Company, Inc.
|
NY
|
Broker Dealer
|
|
A5965
|
SCF Securities, Inc.
|
CA
|
Broker Dealer
|
|
A6961
|
SCH Enterprises, Inc.
|
IN
|
Broker Dealer
|
|
A3346
|
Schlitt Investor Services, Inc
|
FL
|
Broker Dealer
|
|
B0501
|
Scotia MSD
|
PR
|
Bank Dealer
|
|
A0329
|
Scott & Stringfellow, LLC
|
VA
|
Broker Dealer/Municipal Advisor
|
|
A5740
|
Scott James Group, Inc.
|
VA
|
Broker Dealer
|
|
A5546
|
Scottrade Inc
|
MO
|
Broker Dealer
|
|
A5991
|
Scottsdale Capital Advisors
|
AZ
|
Broker Dealer
|
|
A3533
|
Scully Capital Securities Co.
|
DC
|
Broker Dealer/Municipal Advisor
|
|
A5940
|
Sea Port Group Securities, LLC
|
NY
|
Broker Dealer
|
|
A2027
|
Seaport Securities Corporation
|
NY
|
Broker Dealer
|
|
A1776
|
Searle & Co.
|
CT
|
Broker Dealer
|
|
A1279
|
Seattle-Northwest Sec.Corp.
|
WA
|
Broker Dealer/Municipal Advisor
|
|
A6924
|
SecondMarket, Inc.
|
NY
|
Broker Dealer
|
|
A6969
|
SECU Brokerage Services
|
NC
|
Broker Dealer
|
|
A6456
|
Secure Planning, Inc.
|
NH
|
Broker Dealer
|
|
A0998
|
SecureVest Financial Group, Inc.
|
NJ
|
Broker Dealer
|
|
A3800
|
Securian Financial Svcs., Inc.
|
MN
|
Broker Dealer
|
|
A3215
|
Securities America, Inc.
|
NE
|
Broker Dealer
|
|
A4605
|
Securities Capital Corporation
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A1966
|
Securities Center, Inc.(The)
|
CA
|
Broker Dealer
|
|
A5444
|
Securities Equity Group
|
CA
|
Broker Dealer
|
|
A6288
|
Securities Management Research, Inc.
|
IA
|
Broker Dealer
|
|
A0623
|
Securities Research, Inc.
|
FL
|
Broker Dealer
|
|
A3497
|
Securities Service Network,Inc
|
TN
|
Broker Dealer
|
|
A7241
|
security capital brokerage
|
GA
|
Broker Dealer
|
|
A5185
|
SEI Investments Distribution
|
PA
|
Broker Dealer
|
|
A5543
|
Seidel & Shaw LLC
|
NY
|
Broker Dealer
|
|
A2055
|
Selkirk Investments, Inc.
|
WA
|
Broker Dealer
|
|
A6926
|
Sendero Securities, LLC
|
TX
|
Broker Dealer
|
|
A4887
|
Sentinel Brokers Company
|
NY
|
Broker Dealer
|
|
A6013
|
Sentinel Securities, Inc.
|
MA
|
Broker Dealer
|
|
A5290
|
Sequoia Investments, Inc.
|
GA
|
Broker Dealer
|
|
B0506
|
ServisFirst Bank Correspondent Banking and Investment Division
|
AL
|
Bank Dealer
|
|
A4230
|
Seslia Securities
|
PA
|
Broker Dealer
|
|
A6617
|
Seton Securities Group, Inc
|
NJ
|
Broker Dealer
|
|
A6896
|
Seven Points Capital, LLC
|
NY
|
Broker Dealer
|
|
A1330
|
SF Investments, Inc.
|
IL
|
Broker Dealer
|
|
A3771
|
SF Sentry Securities, Inc.
|
CA
|
Broker Dealer
|
|
A7108
|
SFA Financial, LLC
|
SC
|
Broker Dealer
|
|
A5476
|
SG Long & Company
|
MT
|
Broker Dealer
|
|
A6333
|
Shareholders Service Group, Inc.
|
CA
|
Broker Dealer
|
|
A5153
|
Shay Financial Services, Inc.
|
FL
|
Broker Dealer
|
|
A1466
|
Shearman, Ralston Inc.
|
NY
|
Broker Dealer
|
|
A4749
|
Shearson Financial Services LLC
|
FL
|
Broker Dealer
|
|
A1472
|
Shufro, Rose & Co., LLC
|
NY
|
Broker Dealer
|
|
A5368
|
SICOR Securities, Inc.
|
OH
|
Broker Dealer
|
|
A5074
|
Siebert Brandford Shank & Co
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A7137
|
Sierra Pacific Securities, LLC
|
NV
|
Broker Dealer
|
|
A4441
|
SIGMA Financial Corporation
|
MI
|
Broker Dealer
|
|
A3373
|
Signal Securities, Inc.
|
TX
|
Broker Dealer
|
|
A4437
|
Signator Investors Inc.
|
MA
|
Broker Dealer
|
|
A5671
|
Signature Securities Group Corp
|
NY
|
Broker Dealer
|
|
A1662
|
SII Investments, Inc.
|
WI
|
Broker Dealer
|
|
A7249
|
Silber Bennett Financial, Inc.
|
CA
|
Broker Dealer
|
|
A3421
|
Silicon Valley Securities, Inc
|
CA
|
Broker Dealer
|
|
A5446
|
Silver Oak Securities, Incorporated
|
TN
|
Broker Dealer
|
|
A6555
|
Simmons First Investment Group, Inc.
|
AR
|
Broker Dealer
|
|
B0261
|
Simmons First NB of Pine Bluff
|
AR
|
Bank Dealer
|
|
A3587
|
Sisung Securities Corporation
|
LA
|
Broker Dealer/Municipal Advisor
|
|
A6094
|
SKA Securities, Inc.
|
OH
|
Broker Dealer
|
|
A6814
|
SL Hare Capital, Inc.
|
CA
|
Broker Dealer
|
|
A4418
|
SMBC Nikko Securities America, Inc.
|
NY
|
Broker Dealer
|
|
A2332
|
Smith Hayes Fin'l Svcs. Corp.
|
NE
|
Broker Dealer/Municipal Advisor
|
|
A0193
|
Smith, Brown and Groover, Inc.
|
GA
|
Broker Dealer
|
|
A1492
|
Smith, Moore and Company
|
MO
|
Broker Dealer
|
|
A7307
|
Snowden Account Services
|
NY
|
Broker Dealer
|
|
A6449
|
Sorrento Pacific Financial, LLC
|
CA
|
Broker Dealer
|
|
A4911
|
Sorsby Financial Corp.
|
IL
|
Broker Dealer
|
|
A5980
|
Source Capital Group, Inc.
|
CT
|
Broker Dealer
|
|
A5111
|
Southeast Investments, N.A.
|
NC
|
Broker Dealer
|
|
A6404
|
Southern Trust Securities, Inc.
|
FL
|
Broker Dealer
|
|
A5128
|
Southlake Capital
|
TX
|
Broker Dealer
|
|
A7117
|
Southside Securities, LLC
|
TX
|
Broker Dealer
|
|
A1290
|
Southwest Securities, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A2096
|
Southwestern Capital Markets, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A6901
|
Spartan Capital Securities, LLC
|
NY
|
Broker Dealer
|
|
A5039
|
Spencer Clarke, LLC
|
NY
|
Broker Dealer
|
|
A7306
|
Spencer Edwards, Inc.
|
CO
|
Broker Dealer
|
|
A4189
|
Spencer Trask Ventures Inc.
|
NY
|
Broker Dealer
|
|
A4243
|
Spencer-Winston Securities Co.
|
NY
|
Broker Dealer
|
|
A6862
|
Spire Securities, LLC
|
VA
|
Broker Dealer
|
|
A4565
|
St. Bernard Financial Services
|
AR
|
Broker Dealer
|
|
A7047
|
Standard Credit Securities Inc.
|
NY
|
Broker Dealer
|
|
A4760
|
Stanford Group Company
|
TX
|
Broker Dealer
|
|
A6368
|
Stanford Investment Group, Inc.
|
CA
|
Broker Dealer
|
|
A6319
|
Stannard Financial Services, LLC
|
MN
|
Broker Dealer
|
|
A3528
|
Stark Municipal Brokers
|
CA
|
Broker Dealer
|
|
A3857
|
Starshak Winzenburg & Co
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A6386
|
State Farm VP Management Corp.
|
IL
|
Broker Dealer
|
|
B0503
|
State Street Bank and Trust Company
|
MA
|
Bank Dealer
|
|
A4318
|
State Street Global Markets, LLC
|
MA
|
Broker Dealer
|
|
A5865
|
StateTrust Investments, Inc.
|
FL
|
Broker Dealer
|
|
A7160
|
SteelPoint Securities, LLC
|
CA
|
Broker Dealer
|
|
A4908
|
Stephen A Kohn & Associates
|
CO
|
Broker Dealer
|
|
A1303
|
Stephens, Inc.
|
AR
|
Broker Dealer/Municipal Advisor
|
|
B0464
|
Sterling Investments, a division of Sterling Bank
|
MO
|
Bank Dealer
|
|
A6374
|
Sterling Monroe Securities, LLC
|
NY
|
Broker Dealer
|
|
A1306
|
Sterling, Grace Municipal Sec.
|
NJ
|
Broker Dealer
|
|
A2178
|
Stern Brothers & Co.
|
MO
|
Broker Dealer/Municipal Advisor
|
|
A1308
|
Stern Fisher Edwards, Inc.
|
CA
|
Broker Dealer
|
|
A4585
|
Sterne Agee Clearing
|
AL
|
Broker Dealer
|
|
A2689
|
Sterne Agee Financial Services, Inc.
|
AL
|
Broker Dealer
|
|
A1310
|
Sterne, Agee & Leach, Inc.
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A1313
|
Stifel, Nicolaus & Company,Inc
|
MO
|
Broker Dealer/Municipal Advisor
|
|
A5902
|
Stinson Securities, LLC
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A6070
|
StockCross Financial Services, Inc.
|
CA
|
Broker Dealer
|
|
A1319
|
Stoever Glass & Company, Inc.
|
NY
|
Broker Dealer
|
|
A1322
|
Stofan, Agazzi & Company, Inc.
|
IL
|
Broker Dealer
|
|
A7042
|
StoneCastle Securities, LLC
|
NY
|
Broker Dealer
|
|
A5214
|
Stonewall Investments, Inc.
|
IL
|
Broker Dealer
|
|
A6666
|
Stonnington Group, LLC
|
CA
|
Broker Dealer
|
|
A7095
|
StormHarbour Securities LP
|
NY
|
Broker Dealer
|
|
A4369
|
Strategic Alliance Corporation
|
NC
|
Broker Dealer
|
|
A6301
|
Strategic Point Securities, LLC
|
RI
|
Broker Dealer
|
|
A5953
|
Sturdivant & Co., Inc.
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A2359
|
Sturges Company (The)
|
OH
|
Broker Dealer/Municipal Advisor
|
|
A7006
|
Success Trade Securities, Inc.
|
DC
|
Broker Dealer
|
|
A5720
|
Summit Brokerage Services, Inc
|
FL
|
Broker Dealer
|
|
A4146
|
Summit Equities, Inc.
|
NJ
|
Broker Dealer
|
|
A6300
|
SummitAlliance Securities, LLC
|
TX
|
Broker Dealer
|
|
A7126
|
Sumridge Partners, LLC
|
NJ
|
Broker Dealer
|
|
A6587
|
Sunbelt Securities, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A6818
|
SunGard Institutional Brokerage Inc.
|
IL
|
Broker Dealer
|
|
A4746
|
Sunset Financial Services, Inc
|
MO
|
Broker Dealer
|
|
A6834
|
Sunstreet Securities, LLC
|
AZ
|
Broker Dealer
|
|
A2748
|
SunTrust Investment Services, Inc.
|
GA
|
Broker Dealer
|
|
A0438
|
SunTrust Robinson Humphrey, Inc.
|
GA
|
Broker Dealer
|
|
A5647
|
Superior Financial Services, Inc.
|
WI
|
Broker Dealer
|
|
A6739
|
Susquehanna Financial Group, LLLP
|
PA
|
Broker Dealer
|
|
A4192
|
Sutter Securities, Inc.
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A6067
|
SVA Financial Services, LLC
|
WI
|
Broker Dealer
|
|
A6622
|
SWBC Investment Services, LLC
|
TX
|
Broker Dealer
|
|
A1335
|
Sweney Cartwright & Co.
|
OH
|
Broker Dealer
|
|
A6949
|
Swiss Re Capital Markets Corp.
|
NY
|
Broker Dealer
|
|
A2447
|
SWS Financial Services
|
TX
|
Broker Dealer
|
|
A1768
|
Sycamore Financial Group
|
IN
|
Broker Dealer
|
|
A5512
|
SYMETRA Investment Services, Inc
|
WA
|
Broker Dealer
|
|
A6839
|
Symphonic Securities, LLC
|
NY
|
Broker Dealer
|
|
A4458
|
Syndicated Capital, Inc.
|
CA
|
Broker Dealer
|
|
A1715
|
Synovus Securities Inc.
|
GA
|
Broker Dealer/Municipal Advisor
|
|
A2602
|
T Rowe Price Investment Serv.
|
MD
|
Broker Dealer
|
|
A1573
|
T.R. Winston & Company, LLC
|
NJ
|
Broker Dealer
|
|
A6302
|
T.S. Phillips Investments, Inc.
|
OK
|
Broker Dealer
|
|
A5234
|
TAG Securities, Inc.
|
NC
|
Broker Dealer
|
|
A7194
|
TAG Wealth Management, Inc.
|
AZ
|
Broker Dealer
|
|
A6321
|
Taglich Brothers, Inc.
|
NY
|
Broker Dealer
|
|
A7036
|
Tahoe Fixed Income, LLC
|
NV
|
Broker Dealer
|
|
A6988
|
Tandem Securities, Inc.
|
KS
|
Broker Dealer
|
|
A6123
|
Tavenner Company, (The)
|
OH
|
Broker Dealer
|
|
A7197
|
Taylor Capital Management
|
GA
|
Broker Dealer
|
|
A3674
|
Taylor Securities, Inc.
|
TN
|
Broker Dealer
|
|
A6561
|
TCA Financial Group, LLC.
|
NC
|
Broker Dealer
|
|
A5667
|
TCAdvisors Network, Inc.
|
CO
|
Broker Dealer
|
|
A7268
|
TCFG Wealth Management, LLC
|
CA
|
Broker Dealer
|
|
A0498
|
TD AMERITRADE Clearing, Inc.
|
NE
|
Broker Dealer
|
|
A1432
|
TD Ameritrade, Inc.
|
NE
|
Broker Dealer
|
|
A6962
|
TD Securities (USA) LLC
|
NY
|
Broker Dealer
|
|
A7172
|
Teachers Financial Investment Corporation
|
CA
|
Broker Dealer
|
|
A5340
|
Teachers Personal Investors Svcs., Inc.
|
NC
|
Broker Dealer
|
|
A4768
|
Teckmeyer Financial Services
|
NE
|
Broker Dealer
|
|
A4557
|
Tejas Securities Group, Inc.
|
TX
|
Broker Dealer
|
|
A6960
|
Terminus Securities, LLC
|
GA
|
Broker Dealer/Municipal Advisor
|
|
A3684
|
TFS Securities, Inc.
|
NJ
|
Broker Dealer
|
|
A0081
|
The Baker Group, LP
|
OK
|
Broker Dealer/Municipal Advisor
|
|
A5121
|
The Benchmark Company, LLC
|
NY
|
Broker Dealer
|
|
A6944
|
The Bond House, Inc.
|
MO
|
Broker Dealer
|
|
A6086
|
The Capital Group Securities, Inc.
|
RI
|
Broker Dealer
|
|
A7082
|
The Dalmore Group, LLC
|
NY
|
Broker Dealer
|
|
A7025
|
The Dratel Group, Inc.
|
NY
|
Broker Dealer
|
|
A3650
|
The Garbacz Group ,Inc.
|
MO
|
Broker Dealer
|
|
A1006
|
The GMS Group, LLC
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A4990
|
The Jeffrey Matthews Fin. Grp.
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A5930
|
The Leaders Group, Inc.
|
CO
|
Broker Dealer
|
|
A5073
|
The Oak Ridge Fin'l Serv. Group, Inc.
|
MN
|
Broker Dealer
|
|
A7114
|
The PrinceRidge Group LLC
|
NY
|
Broker Dealer
|
|
A6415
|
The Strategic Financial Alliance, Inc.
|
GA
|
Broker Dealer
|
|
A7274
|
The Vertical Group
|
NY
|
Broker Dealer
|
|
A6322
|
The Williams Capital Group, L.P.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A6687
|
Thomas McDonald Partners, LLC
|
OH
|
Broker Dealer
|
|
A6101
|
Thompson Davis & Co.
|
VA
|
Broker Dealer
|
|
A4937
|
Thornes & Assocs, Inc Inv Secs
|
CA
|
Broker Dealer
|
|
A3081
|
Thornhill Securities Inc.
|
TX
|
Broker Dealer
|
|
A1357
|
Thornton Farish Inc.
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A5497
|
Thoroughbred Financial Services, LLC
|
TN
|
Broker Dealer
|
|
A6652
|
Thrasher and Chambers, Inc
|
AR
|
Broker Dealer
|
|
A5034
|
Thrivent Investment Management, Inc.
|
MN
|
Broker Dealer
|
|
A1355
|
Thurston,Springer,Miller,Herd & Titak, Inc.
|
IN
|
Broker Dealer
|
|
A5341
|
TIAA -CREF Indivdl Inst'l Svcs, LLC
|
NC
|
Broker Dealer
|
|
B0270
|
TIB The Independent BankersBank
|
TX
|
Bank Dealer
|
|
A7195
|
Tigress Financial Partners LLC
|
NY
|
Broker Dealer
|
|
A7107
|
Timber Hill LLC
|
CT
|
Broker Dealer
|
|
A1358
|
Timecapital Securities Corp.
|
NY
|
Broker Dealer
|
|
A6723
|
Titan Securities
|
TX
|
Broker Dealer
|
|
A6438
|
Titleist Asset Management, Ltd.
|
TX
|
Broker Dealer
|
|
A5736
|
TMC Bonds, L.L.C.
|
NY
|
Broker Dealer
|
|
A3638
|
Tocqueville Securities L.P.
|
NY
|
Broker Dealer
|
|
A6624
|
Toussaint Capital Partners, LLC
|
NY
|
Broker Dealer
|
|
A7213
|
TOV Capital Markets Inc.
|
FL
|
Broker Dealer
|
|
A4805
|
Tower Square Securities, Inc.
|
NJ
|
Broker Dealer
|
|
A6898
|
Trade Monster
|
IL
|
Broker Dealer
|
|
A5402
|
Trade-PMR, Inc.
|
FL
|
Broker Dealer
|
|
A6803
|
TradeKing
|
FL
|
Broker Dealer
|
|
A4971
|
TradeStation Securities
|
FL
|
Broker Dealer
|
|
A6797
|
TradeWeb LLC
|
NY
|
Broker Dealer
|
|
A5644
|
Tradition Asiel Securities Inc
|
NY
|
Broker Dealer
|
|
A6020
|
TransAm Securities, Inc.
|
FL
|
Broker Dealer
|
|
A3831
|
Transamerica Financial Advisors, Inc.
|
FL
|
Broker Dealer
|
|
A6381
|
Treasure Financial Corp.
|
TX
|
Broker Dealer
|
|
A2205
|
Trevor, Cole, Reid & Monroe
|
NY
|
Broker Dealer
|
|
A4342
|
Tri-Star Financial
|
TX
|
Broker Dealer
|
|
A4165
|
Triad Advisors, Inc.
|
GA
|
Broker Dealer
|
|
A7230
|
Triangle Securities LLC
|
NC
|
Broker Dealer
|
|
A6813
|
TriCor Financial, LLC
|
NV
|
Broker Dealer
|
|
A5689
|
Trident Partners Ltd.
|
NY
|
Broker Dealer
|
|
A7283
|
Tripoint Global Equities, LLC
|
NY
|
Broker Dealer
|
|
A1375
|
Trubee, Collins & Company
|
NY
|
Broker Dealer
|
|
A2431
|
TrustCore Investments, Inc.
|
TN
|
Broker Dealer
|
|
A4764
|
TrustFirst, Inc.
|
TN
|
Broker Dealer
|
|
A3315
|
Trustmont Financial Group, Inc.
|
PA
|
Broker Dealer
|
|
A5649
|
Tryco Securities, Inc
|
TX
|
Broker Dealer
|
|
A7058
|
Tullett Prebon Financial Services LLC
|
NJ
|
Broker Dealer
|
|
A2159
|
Twenty-First Securities Corp.
|
NY
|
Broker Dealer
|
|
B0475
|
U.S. Bank Municipal Securities Group
|
NY
|
Bank Dealer
|
|
A5836
|
U.S. Brokerage, Inc.
|
OH
|
Broker Dealer
|
|
A6436
|
U.S. Investors, Inc.
|
VA
|
Broker Dealer
|
|
A1689
|
UBS Financial Serives Inc. of Puerto Rico
|
PR
|
Broker Dealer/Municipal Advisor
|
|
A1091
|
UBS Financial Services
|
NJ
|
Broker Dealer/Municipal Advisor
|
|
A1381
|
UBS Securities LLC
|
CT
|
Broker Dealer/Municipal Advisor
|
|
A5142
|
Uhlmann Price Securities, LLC
|
IL
|
Broker Dealer
|
|
B0286
|
UMB Bank, N.A.
|
MO
|
Bank Dealer/Municipal Advisor
|
|
A4589
|
UMB Financial Services, Inc.
|
MO
|
Broker Dealer
|
|
A0149
|
Umpqua Investments, Inc.
|
OR
|
Broker Dealer
|
|
A0063
|
Unicredit Capital Markets, Inc.
|
NY
|
Broker Dealer/Municipal Advisor
|
|
A6134
|
Union Capital Company
|
AZ
|
Broker Dealer
|
|
A1847
|
UnionBanc Investment Services, LLC
|
CA
|
Broker Dealer
|
|
A2929
|
United American Securities,Inc
|
NY
|
Broker Dealer
|
|
B0171
|
United Bankers' Bank
|
MN
|
Bank Dealer
|
|
A4786
|
United Brokerage Services,Inc.
|
WV
|
Broker Dealer/Municipal Advisor
|
|
A6774
|
United Financial Group, Ltd.
|
NY
|
Broker Dealer
|
|
A2873
|
United Planners'Fin.Svc.of Ame
|
AZ
|
Broker Dealer
|
|
A5468
|
Univest Investments, Inc.
|
PA
|
Broker Dealer
|
|
A5709
|
UPromise Investments, Inc.
|
MA
|
Broker Dealer/Municipal Advisor
|
|
A6809
|
UPRR Securities, LLC
|
NY
|
Broker Dealer
|
|
A3500
|
US Bancorp Investments, Inc.
|
MN
|
Broker Dealer
|
|
A5786
|
US Boston Capital Corporation
|
MA
|
Broker Dealer
|
|
A7185
|
US Financial Investments
|
NY
|
Broker Dealer
|
|
A3712
|
US Securities Int'l, Corp.
|
NY
|
Broker Dealer
|
|
A4467
|
US Sterling Securities, Inc.
|
NY
|
Broker Dealer
|
|
A5759
|
USA Financial Securities Corp
|
MI
|
Broker Dealer
|
|
A6688
|
USAA Financial Advisors, Inc.
|
TX
|
Broker Dealer
|
|
A1711
|
USAA Investment Management Company
|
TX
|
Broker Dealer
|
|
A5571
|
USCA Securities LLC
|
TX
|
Broker Dealer
|
|
A5246
|
USI Securities, Inc.
|
CT
|
Broker Dealer
|
|
A7086
|
VAB Financial, LLC
|
PR
|
Broker Dealer/Municipal Advisor
|
|
A4637
|
Valdes & Moreno, Inc.
|
MO
|
Broker Dealer
|
|
A5652
|
VALIC Financial Advisors, Inc
|
TX
|
Broker Dealer
|
|
A1400
|
Valley Forge Asset Management
|
PA
|
Broker Dealer
|
|
A2742
|
Valley National Investments
|
PA
|
Broker Dealer
|
|
A5223
|
ValMark Securities, Inc.
|
OH
|
Broker Dealer
|
|
A7039
|
Valor Financial Securities LLC
|
FL
|
Broker Dealer
|
|
A1194
|
Vanderbilt Securities, LLC
|
NY
|
Broker Dealer
|
|
A3019
|
Vanguard Capital
|
CA
|
Broker Dealer
|
|
A3104
|
Vanguard Marketing Corporation
|
PA
|
Broker Dealer
|
|
A7226
|
Vara Securities, LLC
|
CO
|
Broker Dealer
|
|
A2650
|
Vaughan and Company Securities
|
NJ
|
Broker Dealer
|
|
A1399
|
VBC Securities LLC
|
NJ
|
Broker Dealer
|
|
A6551
|
VCA Securities, LP
|
TX
|
Broker Dealer
|
|
A7044
|
VectorGlobal WMG
|
FL
|
Broker Dealer
|
|
A6496
|
Veritrust Financial, LLC
|
TX
|
Broker Dealer
|
|
A5755
|
Verity Investments, Inc.
|
NC
|
Broker Dealer
|
|
A6210
|
Vestech Securities, Inc.
|
KS
|
Broker Dealer
|
|
A3853
|
Vestor Capital Securities, LLC
|
IL
|
Broker Dealer
|
|
A7143
|
VFG Securities, Inc.
|
CA
|
Broker Dealer
|
|
A5923
|
VFIC Securities
|
PA
|
Broker Dealer
|
|
A5253
|
Vfinance Investments, Inc.
|
FL
|
Broker Dealer
|
|
A5481
|
ViewTrade Securities, Inc.
|
FL
|
Broker Dealer
|
|
A3792
|
Vining Sparks
|
TN
|
Broker Dealer
|
|
A5803
|
VISION
|
CT
|
Broker Dealer
|
|
A6815
|
Vision Financial Markets LLC
|
CT
|
Broker Dealer
|
|
A5299
|
Vista Securities, Inc.
|
TX
|
Broker Dealer
|
|
A3328
|
Visun Securities Corporation
|
WI
|
Broker Dealer
|
|
A0923
|
VM Manning & Co.
|
SC
|
Broker Dealer
|
|
A5421
|
Vorpahl Wing Securities
|
WA
|
Broker Dealer
|
|
A2130
|
VSR Financial Services, Inc.
|
KS
|
Broker Dealer
|
|
A6710
|
VWM Insurance Services
|
CA
|
Broker Dealer
|
|
A6243
|
W.H. Colson Securities, Inc.
|
NC
|
Broker Dealer
|
|
A6889
|
W.R. Hambrecht + Co., LLC
|
CA
|
Broker Dealer
|
|
A1419
|
Wachtel & Co., Inc.
|
DC
|
Broker Dealer
|
|
A6349
|
Waddell & Reed, Inc.
|
KS
|
Broker Dealer
|
|
A1418
|
Wall Street Access
|
NY
|
Broker Dealer
|
|
A3234
|
Wall Street Advisors, Inc.
|
NY
|
Broker Dealer
|
|
A5259
|
Wall Street Fin'l Group, Inc.
|
NY
|
Broker Dealer
|
|
A7291
|
Wallachbeth Capital, llc
|
NY
|
Broker Dealer
|
|
A2737
|
Walnut Street Securities
|
NJ
|
Broker Dealer
|
|
A5397
|
Washington Securities Corp.
|
MD
|
Broker Dealer
|
|
A0692
|
Wayne Hummer Investments LLC
|
IL
|
Broker Dealer
|
|
A5984
|
WBB Securities, LLC
|
CA
|
Broker Dealer
|
|
A6534
|
Wealth Enhancement Brokerage Services, LLC
|
MN
|
Broker Dealer
|
|
A6365
|
Wealth Management Resources, Inc.
|
RI
|
Broker Dealer
|
|
A6915
|
Weaver Tidwell Capital, LLC
|
TX
|
Broker Dealer
|
|
A1436
|
Wedbush Securities Inc.
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A3027
|
Wedgewood Partners, Inc.
|
MO
|
Broker Dealer
|
|
A7037
|
Weeden & Co., L.P.
|
CT
|
Broker Dealer
|
|
A3509
|
Weller,Anderson & Co., Ltd.
|
TX
|
Broker Dealer
|
|
A7053
|
Wellington Shields & Co., LLC
|
NY
|
Broker Dealer
|
|
A3741
|
Wells Fargo Advisors
|
MO
|
Broker Dealer
|
|
A2353
|
Wells Fargo Advisors Financial Network, LLC
|
MO
|
Broker Dealer
|
|
B0474
|
Wells Fargo Bank, N.A. Municipal Products Group
|
NC
|
Bank Dealer/Municipal Advisor
|
|
A5807
|
Wells Fargo Institutional Secs
|
NC
|
Broker Dealer
|
|
A6366
|
Wells Fargo Securities, LLC
|
NC
|
Broker Dealer/Municipal Advisor
|
|
A5646
|
Wells Nelson & Associates, LLC
|
OK
|
Broker Dealer/Municipal Advisor
|
|
A5098
|
WesBanco Securities, Inc.
|
WV
|
Broker Dealer
|
|
A6516
|
Wescom Financial Services LLC
|
CA
|
Broker Dealer
|
|
A6575
|
Western Equity Group, Inc.
|
CA
|
Broker Dealer
|
|
A0734
|
Western Financial Corporation
|
CA
|
Broker Dealer
|
|
A6230
|
Western Growers Financial Services
|
CA
|
Broker Dealer
|
|
A4767
|
Western International Sec.,Inc
|
CA
|
Broker Dealer
|
|
A7235
|
Westfield Investment Group, Inc.
|
CA
|
Broker Dealer
|
|
A3527
|
Westhoff, Cone & Holmstedt
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A2960
|
Westminster Fin'l. Secs., Inc.
|
OH
|
Broker Dealer
|
|
A6821
|
Westminster Investment Group, Inc.
|
PA
|
Broker Dealer/Municipal Advisor
|
|
A6229
|
Weston Securities Corporation
|
MA
|
Broker Dealer
|
|
A6144
|
WestPark Capital, Inc.
|
CA
|
Broker Dealer
|
|
A4989
|
Westport Capital Markets, LLC
|
CT
|
Broker Dealer
|
|
A3412
|
Westport Resources Invest.Serv
|
CT
|
Broker Dealer
|
|
A3134
|
WFG Investments, Inc.
|
TX
|
Broker Dealer
|
|
A6128
|
WFS, LLC
|
MA
|
Broker Dealer
|
|
A3590
|
WH Mell Associates
|
NJ
|
Broker Dealer
|
|
A5211
|
WH Reaves & Co., Inc.
|
NJ
|
Broker Dealer
|
|
A6996
|
Wheelhouse Securities Corporation
|
MO
|
Broker Dealer
|
|
A6922
|
Whitaker Securities LLC
|
NY
|
Broker Dealer
|
|
A5676
|
White Mountain Capital, LLC
|
NY
|
Broker Dealer
|
|
A4069
|
Whitehall-Parker Securities, Inc.
|
CA
|
Broker Dealer
|
|
A7228
|
Whitewood Group, Inc.
|
NY
|
Broker Dealer
|
|
A2395
|
WIC Corp.
|
MN
|
Broker Dealer
|
|
A5084
|
Wilbanks Securities, Inc.
|
OK
|
Broker Dealer
|
|
A0747
|
Wiley Bros-Aintree Capital LLC
|
TN
|
Broker Dealer/Municipal Advisor
|
|
A0147
|
William Blair & Company, LLC
|
IL
|
Broker Dealer/Municipal Advisor
|
|
A6285
|
William C. Burnside & Company, Inc.
|
IL
|
Broker Dealer
|
|
A6874
|
Wilmington Capital Securities, LLC
|
NY
|
Broker Dealer
|
|
A3852
|
Wilson Stephenson, Inc.
|
TX
|
Broker Dealer
|
|
A3338
|
Wilson-Davis & Co., Inc.
|
UT
|
Broker Dealer
|
|
A3973
|
Winchester Group, Inc. (The)
|
NY
|
Broker Dealer
|
|
A4438
|
Windham Financial Services,Inc
|
VT
|
Broker Dealer
|
|
A2507
|
Windmill Group, Inc.(The)
|
NY
|
Broker Dealer
|
|
A5325
|
Windsor, Sheffield & Co., Inc.
|
PA
|
Broker Dealer
|
|
A4080
|
Winslow, Evans & Crocker, Inc.
|
MA
|
Broker Dealer
|
|
A2605
|
Wisconsin Discount Securities Corporation
|
WI
|
Broker Dealer
|
|
A4352
|
Wm H Murphy & Co., Inc.
|
TX
|
Broker Dealer
|
|
A5188
|
Wolf Financial Management, LLC
|
IL
|
Broker Dealer
|
|
A4193
|
Woodbury Financial Svcs., Inc.
|
MN
|
Broker Dealer
|
|
A3311
|
Woodlands Securities Corp.
|
TX
|
Broker Dealer
|
|
A6071
|
Woodmen Financial Services, Inc.
|
NE
|
Broker Dealer
|
|
A4853
|
Woodstock Financial Group, Inc.
|
GA
|
Broker Dealer
|
|
A5796
|
World Capital Brokerage, Inc.
|
CO
|
Broker Dealer
|
|
A5405
|
World Choice Securities, Inc.
|
TX
|
Broker Dealer
|
|
A5441
|
World Equity Group, Inc.
|
IL
|
Broker Dealer
|
|
A0932
|
World First Financial Services, Inc.
|
NY
|
Broker Dealer
|
|
A5533
|
World Trade Financial Corp.
|
CA
|
Broker Dealer
|
|
A6360
|
World Trend Financial Planning Services, Ltd.
|
IA
|
Broker Dealer
|
|
A6536
|
Worth Financial Group, Inc.
|
TX
|
Broker Dealer/Municipal Advisor
|
|
A5749
|
WR Taylor & Company, LLC
|
AL
|
Broker Dealer/Municipal Advisor
|
|
A1425
|
WRP Investments, Inc.
|
OH
|
Broker Dealer
|
|
A0763
|
Wulff, Hansen & Company
|
CA
|
Broker Dealer/Municipal Advisor
|
|
A0877
|
Wunderlich Securities, Inc.
|
TN
|
Broker Dealer
|
|
A6057
|
WWK Investments, Inc.
|
MI
|
Broker Dealer
|
|
A7309
|
XFA SECURITIES, LLC
|
NY
|
Broker Dealer
|
|
A6661
|
YieldQuest Securities, LLC.
|
GA
|
Broker Dealer
|
|
A1537
|
York Securities Inc.
|
NY
|
Broker Dealer
|
|
A2513
|
Zeus Securities, Inc.
|
NY
|
Broker Dealer
|
|
A6663
|
Zimbalist Smith Investments, LLC
|
OR
|
Broker Dealer
|
|
A3962
|
Zions Direct, Inc.
|
UT
|
Broker Dealer
|
|
B0300
|
Zions First National Bank
|
UT
|
Bank Dealer/Municipal Advisor
|
|
A0777
|
Ziv Investment Company
|
IL
|
Broker Dealer
|
|
|
|
