Broker-Dealer Firms
40 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 |
|---|---|---|---|---|---|
| ABN AMRO SECURITIES (USA) LLC CRD: 151796 | NJ | 1 | 1 | F | Active |
| APA SECURITIES, LLC CRD: 133615 | NJ | 0 | 1 | A | Active |
| APTO PARTNERS, LLC CRD: 155843 | NJ | 0 | 1 | A | Active |
| APW CAPITAL, INC. CRD: 43814 | NJ | 3 | 1 | F | Active |
| ASTOR RIDGE N.A. LLP CRD: 282626 | NJ | 0 | 1 | A | Active |
| BCG SECURITIES, INC. CRD: 70 | NJ | 7 | 1 | F | Active |
| BLV SECURITIES CRD: 35205 | NJ | 1 | 1 | F | Active |
| BUCKMAN, BUCKMAN & REID, INC. CRD: 23407 | NJ | 22 | 1 | F | Active |
| CRB SECURITIES, LLC CRD: 283134 | NJ | 0 | 1 | A | Active |
| DEALERWEB LLC CRD: 19662 | NJ | 7 | 1 | F | Active |
| DLCC PRIME CRD: 312753 | NJ | 0 | 1 | A | Active |
| ETORO USA SECURITIES INC. CRD: 298361 | NJ | 1 | 1 | F | Active |
| FELDSTEIN FINANCIAL GROUP, LLC CRD: 113988 | NJ | 0 | 1 | A | Active |
| GARDEN STATE SECURITIES, INC. CRD: 10083 | NJ | 27 | 1 | F | Active |
| GMS GROUP CRD: 8000 | NJ | 18 | 1 | F | Active |
| HENNION & WALSH, INC. CRD: 25766 | NJ | 18 | 1 | F | Active |
| KR SECURITIES, LLC CRD: 46152 | NJ | 1 | 1 | F | Active |
| L.O. THOMAS & CO. INC. CRD: 23657 | NJ | 1 | 1 | F | Active |
| LIBUCKI & CO., LLC CRD: 123066 | NJ | 1 | 1 | F | Active |
| LS SECURITIES, LLC CRD: 296764 | NJ | 0 | 1 | A | Active |
| MAGV SECURITIES, INC. CRD: 142082 | NJ | 0 | 1 | A | Active |
| NCG SECURITIES LLC CRD: 160481 | NJ | 1 | 1 | F | Active |
| NOVELLUS SERVICES, LLC CRD: 336681 | NJ | 0 | 1 | A | Active |
| NW CAPITAL MARKETS INC. CRD: 17622 | NJ | 3 | 1 | F | Active |
| NYLIFE DISTRIBUTORS LLC CRD: 35350 | NJ | 2 | 1 | F | Active |
| PAG FINANCIAL, LLC CRD: 307279 | NJ | 0 | 1 | A | Active |
| PERSHING LLC CRD: 7560 | NJ | 106 | 1 | F | Active |
| PGB SECURITIES LLC CRD: 301472 | NJ | 0 | 1 | A | Active |
| PTR, INC. CRD: 31559 | NJ | 28 | 0 | F | Active |
| R. SEELAUS & CO., LLC CRD: 14974 | NJ | 12 | 1 | F | Active |
| SCRED SECURITIES US LLC CRD: 332432 | NJ | 0 | 1 | A | Active |
| THE LEADERS GROUP, INC. CRD: 37157 | NJ | 4 | 1 | F | Active |
| THE VERTICAL GROUP CRD: 104353 | NJ | 13 | 1 | F | Active |
| THEMIS TRADING LLC CRD: 120116 | NJ | 0 | 1 | A | Active |
| UBS FINANCIAL SERVICES INC. CRD: 8174 | NJ | 925 | 1 | F | Active |
| VBC SECURITIES, LLC CRD: 5407 | NJ | 3 | 1 | F | Active |
| VELOCITY CLEARING, LLC CRD: 126588 | NJ | 19 | 1 | F | Active |
| WBB SECURITIES, LLC CRD: 118440 | NJ | 1 | 1 | F | Active |
| WORLD INVESTMENTS, LLC CRD: 20626 | NJ | 6 | 1 | F | Active |
| YORKVILLE SECURITIES, LLC CRD: 330480 | NJ | 0 | 1 | A | Active |