Broker-Dealer Firms
75 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| 2021 CAPITAL CRD: 314855 | IL | 0 | 1 | A | Active |
| 303 SECURITIES, LP CRD: 288569 | IL | 1 | 1 | F | Active |
| 3G FINANCIAL CRD: 317740 | IL | 0 | 1 | A | Active |
| 4170 SECURITIES LLC CRD: 326718 | IL | 0 | 1 | A | Active |
| ABN AMRO CLEARING USA LLC CRD: 14020 | IL | 83 | 1 | F | Active |
| AEG CAPITAL, LLC CRD: 168097 | IL | 0 | 1 | A | Active |
| AMD CAPITAL, LLC CRD: 121539 | IL | 0 | 1 | A | Active |
| AON SECURITIES LLC CRD: 4138 | IL | 3 | 1 | F | Active |
| B. C. ZIEGLER AND COMPANY CRD: 61 | IL | 12 | 1 | F | Active |
| BDT & MSD PARTNERS, LLC CRD: 150459 | IL | 0 | 1 | A | Active |
| BOLT-X LLC CRD: 140802 | IL | 3 | 1 | F | Active |
| CARDINAL INVESTMENTS, INC. CRD: 36838 | IL | 1 | 1 | F | Active |
| CCM SECURITIES, LLC CRD: 104457 | IL | 2 | 1 | F | Active |
| COMHAR CAPITAL MARKETS, LLC CRD: 47955 | IL | 3 | 1 | F | Active |
| CTC, LLC CRD: 44597 | IL | 18 | 1 | F | Active |
| CULVERT CAPITAL LLC CRD: 313898 | IL | 0 | 1 | A | Active |
| DASH PRIME LLC CRD: 41257 | IL | 6 | 1 | F | Active |
| DCM BROKERS, LLC CRD: 144158 | IL | 0 | 1 | A | Active |
| DNA SECURITIES LLC CRD: 312799 | IL | 0 | 1 | A | Active |
| DRW SECURITIES, L.L.C. CRD: 45908 | IL | 9 | 1 | F | Active |
| DV EQUITIES CRD: 312688 | IL | 0 | 1 | A | Active |
| DV SECURITIES, LLC CRD: 305134 | IL | 0 | 1 | A | Active |
| DWS DISTRIBUTORS, INC. CRD: 37306 | IL | 6 | 1 | F | Active |
| FIRST TRUST PORTFOLIOS L.P. CRD: 28519 | IL | 4 | 1 | F | Active |
| FRONTIER ONE LLC CRD: 330993 | IL | 0 | 1 | A | Active |
| GBS RETIREMENT SERVICES, INC. CRD: 34889 | IL | 0 | 1 | A | Active |
| GEMINI CAPITAL L.L.C. CRD: 45178 | IL | 0 | 1 | A | Active |
| GENEVA STOCK, L.L.C. CRD: 104435 | IL | 4 | 1 | F | Active |
| GROUP ONE TRADING LLC CRD: 37484 | IL | 33 | 1 | F | Active |
| GRV SECURITIES LLC CRD: 138348 | IL | 0 | 1 | A | Active |
| HALO SECURITIES, LLC CRD: 279029 | IL | 0 | 1 | A | Active |
| HMP CAPITAL, LLC CRD: 325528 | IL | 0 | 1 | A | Active |
| HORACE MANN INVESTORS, INC. CRD: 11643 | IL | 6 | 1 | F | Active |
| HOVDE GROUP, LLC CRD: 25425 | IL | 1 | 1 | F | Active |
| IHT SECURITIES, LLC CRD: 297984 | IL | 0 | 1 | A | Active |
| IMC SECURITIES LLC CRD: 144874 | IL | 3 | 1 | F | Active |
| INSIGHT SECURITIES, INC. CRD: 5611 | IL | 12 | 1 | F | Active |
| INVESTMENT PLANNERS, INC. CRD: 18557 | IL | 2 | 1 | F | Active |
| JAMES T. BORELLO & CO. CRD: 16860 | IL | 0 | 1 | A | Active |
| JAYPEE INTERNATIONAL, INC. CRD: 135719 | IL | 3 | 1 | F | Active |
| JONES LANG LASALLE SECURITIES, LLC CRD: 120738 | IL | 0 | 1 | A | Active |
| JUMP EXECUTION, LLC CRD: 313060 | IL | 0 | 1 | A | Active |
| JUMP TRADING, LLC CRD: 106124 | IL | 15 | 1 | F | Active |
| JVM SECURITIES, LLC CRD: 290327 | IL | 1 | 1 | F | Active |
| KPMG CORPORATE FINANCE LLC CRD: 103973 | IL | 0 | 1 | A | Active |
| KROLL SECURITIES LLC CRD: 36927 | IL | 1 | 1 | F | Active |
| LASALLE ST SECURITIES, L.L.C. CRD: 7191 | IL | 20 | 1 | F | Active |
| LBMZ SECURITIES, INC. CRD: 7874 | IL | 8 | 1 | F | Active |
| MARATHON CAPITAL MARKETS, LLC CRD: 103767 | IL | 0 | 1 | A | Active |
| MARC J. LANE & COMPANY CRD: 16188 | IL | 1 | 1 | F | Active |
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