Brokerage Firms

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Roche Securities Limited
Headquartered in Edmonton, Canada and provides full retail investment services, including trading on all Canadian and major foreign exchanges.

 
Delta Investments
Full range of investment services through an extensive network of branch offices across the US and a new, secure website. Investors can execute trades online, or with a financial advisor.

 
Murray Traff Securities
An independent investment brokerage firm.

 
Tullett & Tokyo Liberty plc
Provide the global financial community with brokerage execution, personal service, and a range of financial information through state-of-the-art technology.

 
Calton & Associates
Florida based investment-banking firm registered in 50 states serving both fixed income and equity investors as well as municipal issuers. Stock transactions are made on a discount commission basis.

 
Daiwa Securities
Securities company that offers services to individual investors, corporations and financial institutions.

 
GPFunds.com: Brokerage Firms
Asset management firm offering selection and analysis of hedge fund investment opportunities such as the Market Wizards Fund started by Jack Schwager.

 
NCB Stockbrokers
Irish financial services group providing stockbroking, corporate finance and money-broking. This site allows NCB's institutional clients access to equity and bond research as well as live prices.

 
Equitas America
Specialized brokerage services include comprehensive cash management accounts combining securities brokerage, checking, money market sweep and margin borrowing.

 
John Hancock
Planning tools for life insurance, savings and investment, retirement, college tuition needs and extensive financial services such as mutual funds, annuities, long term care, term insurance.

 
Terrion Group, The
Focuses its investment practices on value-based investing.

 
First Financial Planners
FFP Securities, Inc., founded in 1985, is a full-service broker/dealer registered with the National Association of Securities Dealers through which all securities are offered.

 
Aimacon International Inc.
Provides financial brokerage services for residential and commercial mortgages. Also offers equipment lease financing and business factoring.

 
Phoenix Portfolio Management Services, Inc.
Independent broker-dealer advisory firm, affiliated with NASD and the SEC. Clients can attend seminars and receive a newsletter.

 
Franklin Ross, Inc.
Franklin Ross specializes in real time on-line trading. Through the utilization of RealTick IIIÒ, customers can receive real time quotes, charts, news, and order execution.

 
Parker/Hunter Incorporated
Member of the New York Stock Exchange. Independently-owned stockbrokerage and investment banking firm headquartered in Pennsylvania. Other services include research, investment education, news & events.

 
PTI Securities
Brokerage firm located in Chicago, Illinois providing serious off-floor traders with professional execution. Website includes securities trading, futures trading, economic commentary, weekly Dow Jones/S&P commentary and educational information.

 
LPL Financial Services
Independent brokerage firm without proprietary investment products and has a national network of independent representatives.

 
Canaccord Capital Corp. - Vancouver, BC, Canada
Canadian independent investment firm, specializing in small to mid capitalization companies.

 
Morgan Stanley Dean Witter
Global financial services firm that offers securities, asset management, credit services, investment banking (including underwriting public offerings of securities and mergers and acquisitions advice) and institutional sales and trading.

 
ICap, Inc.
Member of Lehman Brother’s Global Clearing Network, provides a range of services and products, including listed and unlisted equities, government, corporate and municipal bonds.

 
Transamerica Corporation
Provider of life insurance policies, securities brokerage services, and financial advisory services, including retirement planning personal finance planning and investment consulting services. The company also provides web-based financial planni.

 
Perkins, Smart & Boyd Inc.
Stock quotes, price graphs, data on public companies, analysts reports.

 
Pilling & Co Stockbrokers
Independent stockbrokers since 1893 based in the UK. Products include: ISAs, PEPs, SIPPs, share dealing, investment services, professional services, individual savings accounts, personal equity plans, self-invested pension plans.

 
Wedbush Morgan Securities
Provides services and investment vehicles: process stock and bond trades quickly and efficiently; investment banking capabilities include public offerings, mergers and acquisitions, valuations, private placements and leveraged buyouts; structuri.

 
MJ Whitman, Inc.
Headquartered in New York and specializes in distressed private obligations and other sophisticated investments.

 
Petercam
Asset management, corporate finance, Belgian bond and equity sales, Eurobonds, foreign equity, & derivatives.

 
Aton Investment Group
Aton Capital Group is the first Russian broker to offer its clients ADR trading services on foreign markets. Aton's most distinguishing characteristic is ownership by management, which has chosen not to leverage financial strength for political .

 
Summit Brokerage Services, Inc.
Member NASD/SIPC. A full service stock brokerage firm servicing individual, corporate and institutional clients. Areas of expertise include retirement planning, asset management, portfolio review and evaluation of stocks, bonds and mutual funds,.

 
JJB Hilliard, WL Lyons, Inc.
Broker-dealer with staff on the floors of the NYSE and AMEX; member of the Chicago Stock Exchange, SIA, NASD, and SIPC. Site includes a map of the firm's branches around the US.

 
Prudential Securities
Website offers a wide variety of investing information, including daily market commentaries, a financial planning calculator, current events and market research.

 
U.S. Securitieis & Futures Corporation
Full service broker-dealer and FCM specializing in the trading of futures and options based in New York. USSF's experience in U.S. and global markets also encompasses equities, bonds and investment banking. Structured to serve institutions, prof.

 
Banc of America Securities
A full service investment bank and brokerage firm with approximately $900 million in regulatory capital. The company provides research, trading and issuance in the equity and fixed income markets (high yield, emerging markets, high grade and mor.

 
Charles Schwab
Full-service financial services company, offering investment guidance, trading and brokerage services and a full range of investment and financial products.

 
Wilson HTM Ltd
Australian independent full service investment house, providing a complete range of services. Services include financial planning, superannuation and tax planning, asset management, sharebroking advice, money market investments and property trus.

 
Scandinavian Asset Management
Brokerage, portfolio management and investment banking.

 
Lincoln Investment Planning, Inc.
Corporate office is located in Wyncote, Pennsylvania. Through Lincoln, one can trade stocks, corporate bonds, government bonds and municipal bonds sold on major exchanges or in the over-the-counter market.

 
Charles Stanley & Co - UK
Share dealing on UK and international Stock Exchanges. Stockbrokers: advisory and discretionary portfolio management; execution-only; ISA's; and financial services.

 
Edward Jones
Full-service broker with local offices in the US, Canada and the UK. Major financial-services firm that serves individual investors exclusively.

 
Trade Center: Brokerage Firm
Provides investment and brokerage service, including online futures trading, futures research, asset management, and private client services.

 
EquityStation: Direct Access Brokerage
Professional online daytrading and institutional direct access accounts with REDIPlustrade and execution, real time level two quotes, news and charts.

 
First Dallas Securities
A traditional brokerage firm composed of a group of carefully chosen professionals specializing in stocks and bonds.

 
First Heartland Capital, Inc.
Fully disclosed broker/dealer who can provide access to a wide arrange of products including: stocks, bonds, mutual funds, options, certificates of deposit and unit investment trusts.

 
InvestIN.com
Licensed broker/dealer in 47 states of the U.S. and not licensed in Minnesota, New Hampshire, North Dakota or Puerto Rico. Corporate headquarters is located in Dallas, Texas.

 
Commonwealth Equity Services
National network of independent financial advisors located in Massachusetts. Licensed to sell securities through Commonwealth with the National Association of Securities Dealers and the requisite federal and local regulatory agencies.

 
Ascani Brokerage Services, Inc.
Offers both retail and institutional futures and options services. The firm's brokers assist clients with strategy, order placement, and execution.

 
Scott & Stringfellow
Regional brokerage and investment banking firm serving both individual and institutional investors, as well as corporate and municipal issuers of securities, based in Virginia.

 
Nomura Securities
Integrated financial services group, providing a broad range of services worldwide. Its customers include individuals, corporations, financial institutions, governments and government agencies.

 
Dain Rauscher, Inc.
Minneapolis-based full-service securities firm. Serves investors predominantly in the western half of the United States, and capital markets and correspondent clients in select markets throughout the nation.

 
KMS Financial Services, Inc.
Independent financial services firm based in Seattle, Washington. Member of the National Association of Securities Dealers, Inc., and the Securities Investor Protection Corporation.

 
USAForce.com
Brokerage accounts are offered through USACapital, Inc. a registered broker-dealer and member of NASD, Municipal Securities Rulemaking Board and SIPC. Members receive investment tips, news, research, S&P data, glossary, free IRAs and charts.

 
Time Leverage Capital Corporation
Guaranteed Introducing Broker. The use of the site requires free registration. Features include commodity details, daily research, trading directory, online signals, futures & options strategies, glossary, trading software, and option resources.

 
Nikko Securities Co., Ltd.
Headquartered in Chuo-ku, Tokyo, Japan Tokyo and listed on the following exchanges: Tokyo, Osaka, Nagoya, Frankfurt, Singapore, Dusseldolf, Luxemborg and Paris.

 
ExpressFutures: Brokerage Firm
Online brokerage firm specializing in online futures trading. Offers three distinct trading platforms catering to both the novice and advanced trader.

 
Mutual Securities, Inc.
Offering general securities services through a network of independent representatives to institutional and individual investors. Investments available through Mutual include stocks, fixed income, options, mutual funds, fee-based asset management.

 
Digital Ventures, Inc.
Provider of venture capital services to invest in and build Internet companies. Services include strategic assessment, legal counsel, marketing, recruiting, office planning and infrastructure. Products and services are sold to multiple industrie.

 
Ameritrade:  Stock Brokerage Firm
Join Ameritrade today and trade commission-free for five weeks. Plus, get powerful tools and free real-time streaming market data.

 
Ferris, Baker, Watts
Headquartered in Washington, DC. the company is a dynamic force in investment banking, serving clients throughout the mid-Atlantic region. Member of the NYSE and SIPC.

 
National Securities Corporation
The firm's business revolves around a core of individual client services including: buying and selling securities, investment banking, asset management, institutional sales and research.

 
Investment Center, Inc.
Nationwide, full service, securities Broker-Dealer with a network of affiliated, independently-owned offices.

 
Paul A. Merriman & Associates
Provide affordable fee-based investment advice and asset management using no-load mutual funds.

 
Spelman & Company, Inc.
Spelman & Co., Inc. is the broker/dealer of Vaughn Woods Investment Management, a registered investment adviser headquartered in San Diego, California.

 
Penson Worldwide, Inc.
Provider of securities clearing services specializing in trade execution services, clearing and custody services, data processing services, and account maintenance services. The company also provides online trading and account access services. P.

 
Bay Capital
Strategy of using mutual funds and variable annuities as the vehicles to optimize the risk/reward relationship for clients. The company is based in Tampa, Florida.

 
Mutual Service Corporation
MSC is based in West Palm Beach, Florida and registered in all 50 states. MSC is a financial planning broker/dealer and registered investment advisor serving a network of independent financial advisors.

 
Sutro & Co
Providing a full spectrum of investment products and services to individual, corporate and institutional investors.

 
Sloan Securities Corp.
Provides the services of a traditional brokerage firm, and Sloan Online Self-Directed Pension Plans, Sloan Online Institutional Trading Services, IPO's, private placements and unique fixed income securities.

 
First Union Securities, Inc.
Registered broker-dealer. Member New York Stock Exchange and SIPC, and a separate, non-bank affiliate of First Union Corporation. Site features include market commentary, research and investment ideas.

 
Ryan, Beck & Co., LLC
Provider of financial services in trading and distribution of tax exempt bank equity and debt securities, mutual funds and portfolio management. The company also provides online stock and mutual fund trading services. Subsidiary/holding company .

 
Williams Financial Group
Independent broker/dealer registered with the NASD. Licensed as a registered investment advisor with the State of Texas. WFG provides financial advice and services to individuals, corporations and municipalities throughout the Southwest with off.

 
Scotiabank
Offers corporate and investment banking products and services in Canada, and selected products and services in key geographic areas such as the U.S., Europe and Asia.

 
Vanguard Capital
Headquartered in San Diego, California, Vanguard Capital is registered with NASD, SIPC, SEC, the National Futures Association and is a Registered Investment Advisor. The firm is licensed to sell securities in all 50 states, the District of Colu.

 
Wilbanks Securities
Full service broker dealer, financial planning and securities brokerage firm.

 
Raymond James
Provides individual investors, corporations and municipalities with investment, financial planning, investment banking, asset management, banking and trust services.

 
GBS Financial Corp.
Full service, national independent brokerage firm with corporate headquarters in Sherman Oaks, California.

 
Orion Futures Group: Online Brokerage Firm
Online brokerage firm for trading. Provides live quotes, custom java charting, research, recommendations and newsletters. No minimum account size.

 
Dorsey & Company
Provides full service financial and securities services to individual, corporate, and institutional clients. Services: investment consulting and money management, securities brokerage, market making, municipal and corporate finance. The company .

 
SunAmerica Securities, Inc.
Headquartered in Phoenix, Arizona with 2,200 registered representatives throughout the continental U.S., Hawaii and Alaska. Offers clients an array of investment products, and can access a range of support services including online links to clie.

 
Barclays
Prime brokerage service provides fully-integrated equity, futures, fixed income and FX execution and clearing products, superior access to scarce equity and fixed income securities.

 
Choice Investments
Broker/dealer of stocks, bonds, mutual funds, IPO's, CD's, treasuries, annuities. The company is based in Austin, Texas.

 
Magnet Investing Group
Headquartered in Mount Freedom, New Jersey and offers stock selection services, including retail brokerage, portfolio management and stock trading.

 
ShareBuilder: Online Brokerage Firms
Online platform for investors to invest in stocks, index funds, and closed-end bond funds. No account or investment minimums and no inactivity fee.

 
Chicago Investment Group, Inc.
Brokerage, investment banking, and retail and merchant banking firm offering a complete range of financial products and services. Products includes retirement accounts, mutual funds, corporate and government bonds, and access to all primary indi.

 
Centennial Securities Company
Located in Grand Rapids, Michigan. Products and services include: mutual funds, stocks, corporate bonds, tax-free municipal bonds, government & agency bonds, tax deferred fixed annuities, tax deferred variable annuities, and unit investment .

 
Credit Suisse First Boston
Principal mission is to create value for clients; to help them meet investment challenges and opportunities wherever and whenever they arise.

 
Siebert Brokerage Express
After hours trading, fixed income offerings, analyst reports, brokerage express, research, newsletter, & seminars.

 
Robert W. Baird & Co. Incorporated
Founded in Milwaukee. Serving the Midwest: individuals, corporations, municipalities and institutional investors.

 
Convertible Arbitrage
Brief definitions and examples.

 
IJL Wachovia
Full-service brokerage firm serving individual, institutional, and corporate investors in more than 65 communities throughout the Carolinas, Georgia, and Virginia.

 
Peters & Company Limited
Full service investment dealer headquartered in Calgary, Alberta. The firm specializes in investments in the Canadian energy industry, and offers corporate finance and financial advisory services.

 
PMG Securities
Provides a comprehensive array of products and services for your investment and insurance needs.

 
American Municipal Securities, Inc. - St. Petersburg, FL
An investment firm offering personalized service to individual investors for municipal and corporate bonds, government securities, mutual funds, annuities, as well as individual stocks.

 
Investors Capital Corp.
Nationally recognized securities firm comprised of registered and financial professionals throughout the US.

 
David Lerner Associates, Inc.
Full service investment firm headquartered in Syosset, New York.

 
R.K. Grace & Company
Full service broker/dealer and registered investment advisor based in Miami, Florida. R.K. Grace maintains a correspondent relationship with a wholly-owned and fully guaranteed subsidiary of Dain Rauscher Incorporated; Dain Correspondent Cleari.

 
AKJ, Inc.
Retain clearing arrangements with Raymond James & Associates and Bear Stearns (through Online Trading) in the U.S., and manage offshore clients' accounts through various US, European and offshore brokerages.

 
Warburg Pincus Asset Management, Inc.
Provider of investment banking, investment advice and mutual fund brokerage services for institutions and individuals. The company also provides online financial information aggregation services. Products and services are sold to multiple indust.

 
Dreyfus Brokerage Services
Worldwide headquarters are located in Beverly Hills, California. DBS is a registered broker-dealer in all 50 states and member of all major national clearing organizations.

 
Spear, Leeds & Kellogg
Specialist & training, execution & clearing, electronic trading.

 
Trust Company of America/GEMISYS
Trust, transfer agent, limited partnership trading and brokerage services for the investor, investment advisor and direct investment company or stock/bond issuer.

 
Raymond James Financial Services
Offers its clients a wide selection of investments and services from offices in the US. Many products are available through the firm's subsidiaries and joint ventures.

 
Brown
183635

 
SG Cowen Securities Corporation
Provider of investment banking, investment advice and securities services focusing on technology, health care, utilities, entertainment, and telecommunications. The company also provides stock research information online. Subsidiary/holding comp.

 
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