Broker-Dealer Firms
340 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 |
|---|---|---|---|---|---|
| CICC US SECURITIES, INC. CRD: 143221 | NY | 1 | 1 | F | Active |
| CIMAS, LLC CRD: 132263 | NY | 0 | 1 | A | Active |
| CION SECURITIES, LLC CRD: 15487 | NY | 3 | 1 | F | Active |
| CJS SECURITIES, INC. CRD: 44823 | NY | 1 | 1 | F | Active |
| CNR SECURITIES, LLC CRD: 18466 | NY | 4 | 1 | F | Active |
| COHEN & STEERS SECURITIES, LLC CRD: 29258 | NY | 0 | 1 | A | Active |
| COINBASE CAPITAL MARKETS CORP CRD: 10722 | NY | 0 | 1 | A | Active |
| CORPORATE PARTNERS & CO. LLC CRD: 168356 | NY | 0 | 1 | A | Active |
| COVIEW CAPITAL, INC. CRD: 35842 | NY | 2 | 1 | F | Active |
| CRC-IB CRD: 158736 | NY | 0 | 1 | A | Active |
| CTL SECURITIES LLC CRD: 147369 | NY | 1 | 1 | F | Active |
| D. BORAL CAPITAL CRD: 103792 | NY | 2 | 1 | F | Active |
| D.E. SHAW SECURITIES, L.L.C. CRD: 24332 | NY | 5 | 1 | F | Active |
| D/B/A PALAZZO CRD: 156378 | NY | 0 | 1 | A | Active |
| DABBAH SECURITIES CORP. CRD: 26576 | NY | 3 | 1 | F | Active |
| DALMORE GROUP LLC CRD: 136352 | NY | 2 | 1 | F | Active |
| DC ADVISORY CRD: 129919 | NY | 0 | 1 | A | Active |
| DELPHOS MMJ L.P. CRD: 137389 | NY | 1 | 1 | F | Active |
| DNB CARNEGIE, INC. CRD: 127605 | NY | 0 | 1 | A | Active |
| DOFT & CO., INC. CRD: 1660 | NY | 4 | 1 | F | Active |
| DRAKE STAR SECURITIES LLC CRD: 131338 | NY | 0 | 1 | A | Active |
| DRIVEWEALTH, LLC CRD: 165429 | NY | 1 | 1 | F | Active |
| E&J SECURITIES CORP. CRD: 37452 | NY | 0 | 1 | A | Active |
| E.F. HUTTON & CO. LLC CRD: 322687 | NY | 0 | 1 | A | Active |
| EDDID SECURITIES USA INC. CRD: 299423 | NY | 0 | 1 | A | Active |
| EDGEMONT CAPITAL PARTNERS, L.P. CRD: 122572 | NY | 2 | 1 | F | Active |
| EM SECURITIES LLC CRD: 148257 | NY | 0 | 1 | A | Active |
| EMPIRE INVESTMENT INC. CRD: 16763 | NY | 4 | 1 | F | Active |
| ENDEAVOR CAPITAL CRD: 118820 | NY | 1 | 1 | F | Active |
| EP SECURITIES, LLC CRD: 150774 | NY | 0 | 1 | A | Active |
| EQUILEND CRD: 119107 | NY | 0 | 1 | A | Active |
| EQUITABLE ADVISORS, LLC CRD: 6627 | NY | 37 | 1 | F | Active |
| ERNST & YOUNG CAPITAL ADVISORS, LLC CRD: 152514 | NY | 0 | 1 | A | Active |
| ETICO PARTNERS, LLC CRD: 122481 | NY | 1 | 1 | F | Active |
| EVERCORE GROUP L.L.C. CRD: 42405 | NY | 3 | 1 | F | Active |
| EXOS SECURITIES LLC CRD: 298276 | NY | 0 | 1 | A | Active |
| FAR HILLS GROUP, LLC. CRD: 32243 | NY | 1 | 1 | F | Active |
| FBN SECURITIES, INC. CRD: 18315 | NY | 3 | 1 | F | Active |
| FDX CAPITAL LLC CRD: 119302 | NY | 2 | 1 | F | Active |
| FENNEL CRD: 316281 | NY | 0 | 1 | A | Active |
| FERRETTI GROUP, INC. CRD: 47768 | NY | 0 | 1 | A | Active |
| FGC SECURITIES, LLC CRD: 158399 | NY | 0 | 1 | A | Active |
| FIN2 CRD: 316863 | NY | 0 | 1 | A | Active |
| FIRST OMEGA, LLC CRD: 306373 | NY | 0 | 1 | A | Active |
| FLOURISH FINANCIAL LLC CRD: 293019 | NY | 0 | 1 | A | Active |
| FLOW TRADERS U.S. LLC CRD: 150780 | NY | 4 | 1 | F | Active |
| FMX EXECUTION, LLC CRD: 154075 | NY | 0 | 1 | A | Active |
| FORTRESS CAPITAL FORMATION LLC CRD: 152385 | NY | 0 | 1 | A | Active |
| FR TRADING LLC CRD: 318566 | NY | 0 | 1 | A | Active |
| G.RESEARCH, LLC CRD: 7353 | NY | 6 | 1 | F | Active |