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Small Broker-Dealer
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A broker/dealer is a company that buys and sells investment products on behalf of investors and underwrites investments to raise capital for companies. Some of the below listed Broker-Dealers may underwrite investments while others only participate in selling investments that are sponsored by a managing Broker-Dealer underwriter. They are called a managing underwriter. The managing underwriter will usually put together a syndicate of other Broker-Dealers to sell an investment offering.

 

Advantage Capital Corp - 800-235-2237
www.joinacc.com

AIG Financial Advisors 800-GOAIGFA
www.aigfa.com

American General Securities Inc 800-247-4669
www.agsecurities.com

Ameritas Investment Corp (800) 335-9858
www.aicinvest.com

Associated Securities Corp  310-670-0800
www.afgweb.com

Berthel Fisher & Company 800-356-5234
www.berthel.com

Brecek & Young Advisors Inc 888-777-1992
www.brecek.com

BCG Securities Inc. (888) 394-2247
www.bcgsecurities.com

Cadaret, Grant & Co Inc 800.288.8601
www.cadaretgrant.com

Cambridge Investment Research Inc 800-777-6080
www.joincir.com

Capital Analysts Inc 888-404-1177
www.capitalanalysts.com

Crown Capital Securities LP (800) 803-8886
www.crowncapitalsecurities.com

Centaurus Financial Orange 800-880-4234
www.centaurusfinancial.com

Commonwealth Financial Network  866-462-3638
www.commonwealth.com

Delta Equity Services Corp. (800) 649-3883
www.deltaequity.com

Ensemble Financial Services 585-419-1010
www.ensemblefs.com

ePLANNING Securities, Inc. (888) 815-1000
www.eplanning.com

Equity Services, Inc. (800) 344-7437
www.equity-services.com

Financial Network Investment Corp 800-879-8100
www.financialnetwork.com

First Midwest Securities Inc 800-662-8452
www.firstmidwestsecurities.com

First Financial Planners Inc 636-537-1040
www.ffp1.com

FSC Securities Corp 800-547-2382
www.fscorp.com

Geneos Wealth Management 303-785-8470
www.geneoswealth.com

Gunnallen Financial Inc 800-713-4046
www.gunnallen.com

GBS Financial Corp. (707) 568-2400
www.gbsfinancial.com

Harbour Investments  888-855-6960
www.harbourinv.com

H.D. Vest Financial Services 800-821-8254
www.hdvest.com

ING Financial Partners Inc 800-356-2906
www.ingfinancialpartners.com

InterSecurities Inc.  800-322-7161
www.intersecurities.com

Investacorp Inc 800-804-0000
www.investacorp.com

Invest Financial Corp 800-245-4732
www.investfinancial.com

Investment Center, Inc  800-345-8041
www.investmentctr.com

Investment Centers Of America Inc  800-544-7113
www.joinica.com

Investors Capital Corp 800-949-1422
www.joinicc.com

Kalos Capital Inc 678-356-1100
www.kaloscapital.com

Kovack Securities Inc  866-Join KS
www.joinksi.com

Multi-Financial Securities Corp 800-929-3485
www.multifin.com

National Planning Corporation 800-881-7174
www.natplan.com

Pacific West Securities, Inc 888-236-7979
www.pwfinancial.com

PlanMember Securities Corp 800-874-6910
www.joinplanmember.com

Primevest Financial Services, Inc  800-245-0467
www.primevest.com

NFP Securities Inc  512-697-6000
www.nfp.com

Princor Financial Services 888-774-6267
www.princor.com

Raymond James Financial Services Inc 800-998-7537
www.advisorchoice.com

Royal Alliance Associates Inc 800-821-5100
www.royalalliance.com

Sammons Securities Co. 800-373-1612
www.sammonssecurities.com

Securian Financial Services, Inc 888-237-1838
www.securianfinancial.com

Securities America Inc  800-989-8441
www.securitiesamerica.com

SII Investments Inc 800-426-5975
www.siionline.com

Sterne Agee Financial Services Inc  877-717-8625
www.discoversal.com

Transamerica Financial Advisors Inc 800-742-9984
www.transamerica.com

Triad Advisors Inc 800-720-4003
www.triad-advisors.com

United Planners’ Financial Services Of America 480-991-0225
www.unitedplanners.com

US Allianz Securities 888-446-5872
www.usallianzsecurities.com

Woodbury Financial Services Inc 800-800-2000
www.woodburyfinancial.com