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 |
|---|---|---|---|---|---|
| KNOWN GROWTH LLC CRD: 322351 | NY | 0 | 1 | A | Active |
| KOTAK MAHINDRA, INC. CRD: 47251 | NY | 0 | 1 | A | Active |
| KW SECURITIES CORPORATION CRD: 8237 | NY | 3 | 1 | F | Active |
| LATOUR TRADING LLC CRD: 150887 | NY | 4 | 1 | F | Active |
| LAZARD FRERES & CO. LLC CRD: 2528 | NY | 16 | 1 | F | Active |
| LEIGH BALDWIN & CO., LLC CRD: 38751 | NY | 6 | 1 | F | Active |
| LIFEMARK SECURITIES CORP. CRD: 16204 | NY | 5 | 1 | F | Active |
| LIME TRADING CORP CRD: 11826 | NY | 4 | 1 | F | Active |
| LINQTO CAPITAL CRD: 314557 | NY | 0 | 1 | A | Active |
| LIQUIDLY IAS, LLC CRD: 299963 | NY | 0 | 1 | A | Active |
| LIQUIDNET, INC. CRD: 103987 | NY | 10 | 1 | F | Active |
| LLOYDS SECURITIES CRD: 154515 | NY | 0 | 1 | A | Active |
| LMV CAPITAL CORP. CRD: 148745 | NY | 0 | 1 | A | Active |
| LPS CAPITAL LLC CRD: 155246 | NY | 1 | 1 | F | Active |
| LUMA SECURITIES LLC CRD: 157803 | NY | 0 | 1 | A | Active |
| M.D. SASS SECURITIES, L.L.C. CRD: 139760 | NY | 1 | 1 | F | Active |
| MACQUARIE CAPITAL (USA) INC. CRD: 36368 | NY | 5 | 1 | F | Active |
| MAN INVESTMENTS INC. CRD: 15770 | NY | 3 | 1 | F | Active |
| MAREX CAPITAL MARKETS INC. CRD: 161014 | NY | 42 | 1 | F | Active |
| MARKETAXESS CORPORATION CRD: 44542 | NY | 1 | 1 | F | Active |
| MAXIM GROUP LLC CRD: 120708 | NY | 37 | 1 | F | Active |
| MAY CAPITAL GROUP, L.L.C. CRD: 37081 | NY | 0 | 1 | A | Active |
| MCAP LLC CRD: 139515 | NY | 2 | 1 | F | Active |
| MCM SECURITIES LLC CRD: 41571 | NY | 1 | 1 | F | Active |
| MCP SECURITIES, LLC CRD: 152669 | NY | 0 | 1 | A | Active |
| MCS CAPITAL MARKETS LLC CRD: 151337 | NY | 0 | 1 | A | Active |
| MINT BROKERS CRD: 13681 | NY | 2 | 1 | F | Active |
| MIZUHO SECURITIES USA LLC CRD: 19647 | NY | 16 | 1 | F | Active |
| MMA SECURITIES LLC CRD: 44254 | NY | 3 | 1 | F | Active |
| MMC SECURITIES LLC CRD: 103846 | NY | 0 | 1 | A | Active |
| MMM SECURITIES LLC CRD: 318021 | NY | 0 | 1 | A | Active |
| MOMENT MARKETS, LLC CRD: 325062 | NY | 0 | 1 | A | Active |
| MOONFARE SECURITIES USA CRD: 325838 | NY | 0 | 1 | A | Active |
| MTS SECURITIES, LLC CRD: 104059 | NY | 0 | 1 | A | Active |
| N.A. INVESTCORP LLC CRD: 134162 | NY | 0 | 1 | A | Active |
| N.B. ZOULLAS SECURITIES, INC. CRD: 29419 | NY | 0 | 1 | A | Active |
| NABSECURITIES, LLC CRD: 47390 | NY | 0 | 1 | A | Active |
| NCMG LLC CRD: 317428 | NY | 0 | 1 | A | Active |
| NEEDHAM & COMPANY, LLC CRD: 16360 | NY | 27 | 1 | F | Active |
| NEUBERGER BERMAN BD LLC CRD: 2908 | NY | 25 | 1 | F | Active |
| NFSTX, LLC CRD: 172583 | NY | 0 | 1 | A | Active |
| NGC FINANCIAL, LLC CRD: 145082 | NY | 0 | 1 | A | Active |
| NORDEA SECURITIES LLC CRD: 292574 | NY | 0 | 1 | A | Active |
| NPM SECURITIES, LLC CRD: 168469 | NY | 0 | 1 | A | Active |
| NYLIFE SECURITIES LLC CRD: 5167 | NY | 20 | 1 | F | Active |
| OAKLINS DP LLC CRD: 124988 | NY | 0 | 1 | A | Active |
| OBERON SECURITIES, LLC CRD: 132598 | NY | 0 | 1 | A | Active |
| OBEX SECURITIES LLC CRD: 120002 | NY | 0 | 1 | A | Active |
| OCTAURA SECURITIES CRD: 321877 | NY | 0 | 1 | A | Active |
| ODDO BHF NEW YORK CORPORATION CRD: 45104 | NY | 1 | 1 | F | Active |