Broker-Dealer Firms
92 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 |
|---|---|---|---|---|---|
| IOA SECURITIES, LLC CRD: 304185 | FL | 0 | 1 | A | Active |
| ITAU INTERNATIONAL SECURITIES INC. CRD: 144769 | FL | 0 | 1 | A | Active |
| IUR SECURITIES LLC CRD: 299039 | FL | 0 | 1 | A | Active |
| IWPF SECURITIES LLC CRD: 328645 | FL | 0 | 1 | A | Active |
| KRAKEN SECURITIES CRD: 324343 | FL | 0 | 1 | A | Active |
| LAMPOST CAPITAL, L.C. CRD: 43706 | FL | 1 | 1 | F | Active |
| MARIVA CAPITAL MARKETS, LLC CRD: 156171 | FL | 1 | 1 | F | Active |
| MBS CAPITAL MARKETS, LLC CRD: 155065 | FL | 0 | 1 | A | Active |
| MFR SECURITIES, INC. CRD: 36308 | FL | 0 | 1 | A | Active |
| MONEY CONCEPTS CAPITAL CORP CRD: 12963 | FL | 11 | 1 | F | Active |
| NUORION CAPITAL CRD: 315811 | FL | 0 | 1 | A | Active |
| OCP CAPITAL, LLC CRD: 143381 | FL | 1 | 1 | F | Active |
| ONPEAK CAPITAL LLC CRD: 310173 | FL | 0 | 1 | A | Active |
| PAR5 CAPITAL & CO LLC CRD: 134657 | FL | 0 | 1 | A | Active |
| PEI GLOBAL PARTNERS LLC CRD: 297979 | FL | 0 | 1 | A | Active |
| PHCP, LLC CRD: 300729 | FL | 0 | 1 | A | Active |
| PLP CAPITAL CRD: 38901 | FL | 2 | 1 | F | Active |
| POD SECURITIES CRD: 337460 | FL | 0 | 1 | A | Active |
| PROPEL ADVISORY GROUP, INC. CRD: 164996 | FL | 0 | 1 | A | Active |
| PWA SECURITIES, LLC CRD: 321974 | FL | 0 | 1 | A | Active |
| QUANTRIVER FINANCIAL, LLC CRD: 153906 | FL | 1 | 1 | F | Active |
| R.M. STARK & CO., INC. CRD: 7612 | FL | 4 | 1 | F | Active |
| S2K FINANCIAL LLC CRD: 248786 | FL | 0 | 1 | A | Active |
| SABADELL SECURITIES USA, INC. CRD: 148137 | FL | 0 | 1 | A | Active |
| SANCTUARY SECURITIES, INC. CRD: 205 | FL | 31 | 1 | F | Active |
| SEMINARIO SECURITIES CRD: 315218 | FL | 0 | 1 | A | Active |
| SINE QUA NON CAPITAL LLC CRD: 330483 | FL | 0 | 1 | A | Active |
| SNOWBRIDGE SECURITIES LLC CRD: 301996 | FL | 0 | 1 | A | Active |
| SORSBY FINANCIAL CORP. CRD: 39437 | FL | 0 | 1 | A | Active |
| ST GLOBAL MARKETS USA LLC CRD: 324143 | FL | 0 | 1 | A | Active |
| STONELIVING SECURITIES, LLC CRD: 153565 | FL | 0 | 1 | A | Active |
| SUNDIAL GROUP, LLC CRD: 158367 | FL | 0 | 1 | A | Active |
| TIMOTHY PARTNERS, LTD. CRD: 41835 | FL | 0 | 1 | A | Active |
| TRADE-PMR INC. CRD: 46350 | FL | 3 | 1 | F | Active |
| UCAP AMERICAS CRD: 173643 | FL | 0 | 1 | A | Active |
| UNITED CAPITAL MARKETS, INC. CRD: 40980 | FL | 2 | 1 | F | Active |
| VECTORGLOBAL WMG CRD: 32396 | FL | 4 | 1 | F | Active |
| VSI SECURITIES, INC. CRD: 114419 | FL | 2 | 1 | F | Active |
| W CAMPION CAPITAL LLC CRD: 171277 | FL | 0 | 1 | A | Active |
| ZEUS FINANCIAL, LLC CRD: 18192 | FL | 0 | 1 | A | Active |
| ZINK DISTRIBUTION SOLUTIONS CRD: 321983 | FL | 0 | 1 | A | Active |
| ZINVEST FINANCIAL SERVICE, LLC CRD: 297563 | FL | 0 | 1 | A | Active |
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