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 |
|---|---|---|---|---|---|
| GALILEO GLOBAL SECURITIES, LLC CRD: 140076 | NY | 0 | 1 | A | Active |
| GEMINI GALACTIC MARKETS, LLC CRD: 304761 | NY | 0 | 1 | A | Active |
| GFI SECURITIES LLC CRD: 19982 | NY | 30 | 1 | F | Active |
| GHP SECURITIES LLC CRD: 336336 | NY | 0 | 1 | A | Active |
| GILDER GAGNON HOWE & CO. LLC CRD: 2002 | NY | 5 | 1 | F | Active |
| GLC SECURITIES, LLC CRD: 153581 | NY | 0 | 1 | A | Active |
| GORDIAN GROUP, LLC CRD: 24034 | NY | 0 | 1 | A | Active |
| GORDON DYAL & CO., LLC CRD: 284175 | NY | 0 | 1 | A | Active |
| GSP SECURITIES LLC CRD: 146250 | NY | 1 | 1 | F | Active |
| H.C.WAINWRIGHT & CO., LLC CRD: 375 | NY | 16 | 1 | F | Active |
| HAZARD & SIEGEL, INC. CRD: 2048 | NY | 0 | 1 | A | Active |
| HENLEY & COMPANY LLC CRD: 131453 | NY | 0 | 1 | A | Active |
| HENRIES SECURITIES CRD: 306152 | NY | 0 | 1 | A | Active |
| HPS SECURITIES, LLC CRD: 319197 | NY | 0 | 1 | A | Active |
| HRT FINANCIAL LP CRD: 152144 | NY | 10 | 1 | F | Active |
| HSBC SECURITIES (USA) INC. CRD: 19585 | NY | 94 | 1 | F | Active |
| HUATAI SECURITIES (USA), INC. CRD: 298809 | NY | 0 | 1 | A | Active |
| HUDSON HERITAGE CAPITAL MANAGEMENT, INC. CRD: 44357 | NY | 0 | 1 | A | Active |
| HUDSON HOUSING SECURITIES LLC CRD: 103861 | NY | 1 | 1 | F | Active |
| HUNNICUTT & CO. LLC CRD: 20576 | NY | 1 | 1 | F | Active |
| ICBC STANDARD SECURITIES INC. CRD: 35560 | NY | 3 | 1 | F | Active |
| ICICI SECURITIES INC. CRD: 104285 | NY | 1 | 1 | F | Active |
| IDB CAPITAL CORP. CRD: 106032 | NY | 1 | 1 | F | Active |
| IEX DAP LLC CRD: 318014 | NY | 0 | 1 | A | Active |
| IFM (US) SECURITIES, LLC CRD: 166325 | NY | 0 | 1 | A | Active |
| IIFL CAPITAL INC. CRD: 149073 | NY | 1 | 1 | F | Active |
| IMPACTU.INVESTMENTS, LLC CRD: 122696 | NY | 0 | 1 | A | Active |
| ING FINANCIAL MARKETS LLC CRD: 28872 | NY | 10 | 1 | F | Active |
| INSTINET, LLC CRD: 7897 | NY | 80 | 1 | F | Active |
| INVESTEC SECURITIES (US) LLC CRD: 138421 | NY | 0 | 1 | A | Active |
| IRC SECURITIES LLC CRD: 150022 | NY | 1 | 1 | F | Active |
| ITAU BBA USA SECURITIES, INC. CRD: 118817 | NY | 3 | 1 | F | Active |
| IVP CAPITAL, LLC CRD: 104197 | NY | 0 | 1 | A | Active |
| J. STREICHER & CO. L.L.C. CRD: 3526 | NY | 9 | 1 | F | Active |
| J.H. DARBIE & CO., INC. CRD: 43520 | NY | 12 | 1 | F | Active |
| J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. CRD: 102920 | NY | 0 | 1 | A | Active |
| J.P. MORGAN PRIME INC. CRD: 282107 | NY | 0 | 1 | A | Active |
| J.P. MORGAN SECURITIES LLC CRD: 79 | NY | 546 | 1 | F | Active |
| JB DRAX HONORE' INC. CRD: 322118 | NY | 3 | 1 | F | Active |
| JEFFERIES LLC CRD: 2347 | NY | 137 | 1 | F | Active |
| JOSEPH CAPITAL, LLC CRD: 120414 | NY | 0 | 1 | A | Active |
| JOSEPH GRACE CRD: 103580 | NY | 1 | 1 | F | Active |
| K CAPITAL LLC CRD: 147191 | NY | 0 | 1 | A | Active |
| KAHN BROTHERS LLC CRD: 7720 | NY | 0 | 1 | A | Active |
| KBD SECURITIES, LLC CRD: 104110 | NY | 0 | 1 | A | Active |
| KENSINGTON CAPITAL CORP. CRD: 1742 | NY | 10 | 1 | F | Active |
| KEYSTONE GLOBAL CRD: 159341 | NY | 0 | 1 | A | Active |
| KIMELMAN & BAIRD, LLC CRD: 2440 | NY | 5 | 1 | F | Active |
| KLEON FINANCIAL, LLC CRD: 121537 | NY | 0 | 1 | A | Active |
| KNG SECURITIES USA INC CRD: 335822 | NY | 0 | 1 | A | Active |