Broker-Dealer Firms
7 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 |
|---|---|---|---|---|---|
| ABACUS INVESTMENTS, INC. CRD: 35127 | WI | 0 | 1 | A | Active |
| CARL M. HENNIG, INC. CRD: 140 | WI | 3 | 1 | F | Active |
| GM SECURITIES, LLC CRD: 154657 | WI | 0 | 1 | A | Active |
| H. C. DENISON CO. CRD: 1628 | WI | 3 | 1 | F | Active |
| HARBOUR INVESTMENTS, INC. CRD: 19258 | WI | 9 | 1 | F | Active |
| KCD FINANCIAL, INC. CRD: 127473 | WI | 4 | 1 | F | Active |
| SENTRY EQUITY SERVICES, INC. CRD: 5069 | WI | 2 | 1 | F | Active |