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 |
|---|---|---|---|---|---|
| SAGE, RUTTY & CO., INC. CRD: 3254 | NY | 7 | 1 | F | Active |
| SCOTIA CAPITAL (USA) INC. CRD: 2739 | NY | 9 | 1 | F | Active |
| SEABURY SECURITIES LLC CRD: 41916 | NY | 0 | 1 | A | Active |
| SEACAP SECURITIES LLC CRD: 133994 | NY | 0 | 1 | A | Active |
| SEAPORT SECURITIES CORP. CRD: 8330 | NY | 1 | 1 | F | Active |
| SEB SECURITIES, INC. CRD: 23710 | NY | 0 | 1 | A | Active |
| SECFI SECURITIES, LLC CRD: 302112 | NY | 0 | 1 | A | Active |
| SENAHILL SECURITIES, LLC CRD: 166477 | NY | 0 | 1 | A | Active |
| SENATE SECURITIES CRD: 20458 | NY | 1 | 1 | F | Active |
| SEXTANT SECURITIES, LLC CRD: 283937 | NY | 0 | 1 | A | Active |
| SG AMERICAS SECURITIES, LLC CRD: 128351 | NY | 116 | 1 | F | Active |
| SGI SECURITIES LLC CRD: 155643 | NY | 1 | 1 | F | Active |
| SGP SECURITIES, LLC CRD: 328824 | NY | 0 | 1 | A | Active |
| SHAREGAIN SECURITIES INC. CRD: 318555 | NY | 0 | 1 | A | Active |
| SHARENETT SECURITIES LLC CRD: 151011 | NY | 0 | 1 | A | Active |
| SI SECURITIES, LLC CRD: 170937 | NY | 1 | 1 | F | Active |
| SIGULER GUFF GLOBAL MARKETS, LLC CRD: 159534 | NY | 0 | 1 | A | Active |
| SIXTH STREET BD, LLC CRD: 281933 | NY | 0 | 1 | A | Active |
| SMG SECURITIES, INC. CRD: 17406 | NY | 0 | 1 | A | Active |
| SOUTH STREET SECURITIES LLC CRD: 125202 | NY | 1 | 1 | F | Active |
| STANDARD NEW YORK, INC. CRD: 173725 | NY | 0 | 1 | A | Active |
| STG SECURITIES, LLC CRD: 322438 | NY | 0 | 1 | A | Active |
| STOCKBLOCK SECURITIES CRD: 307304 | NY | 0 | 1 | A | Active |
| STONECASTLE SECURITIES, LLC CRD: 131211 | NY | 0 | 1 | A | Active |
| STONEPEAK SECURITIES LLC CRD: 316392 | NY | 0 | 1 | A | Active |
| STONINGTON CORPORATION CRD: 35917 | NY | 4 | 1 | F | Active |
| STRATCAP SECURITIES, LLC CRD: 151152 | NY | 1 | 1 | F | Active |
| STRATHMORE GROUP LLC CRD: 306089 | NY | 0 | 1 | A | Active |
| SUMMIT SECURITIES GROUP LLC CRD: 159283 | NY | 10 | 1 | F | Active |
| SUMMIT TRAIL SECURITIES, LLC CRD: 285784 | NY | 0 | 1 | A | Active |
| SUNTHAY GRX LLC CRD: 314554 | NY | 0 | 1 | A | Active |
| T3 TRADING GROUP, LLC CRD: 154431 | NY | 3 | 1 | F | Active |
| TAG CAPITAL PARTNERS CRD: 318850 | NY | 0 | 1 | A | Active |
| TAP SECURITIES LLC CRD: 151593 | NY | 0 | 1 | A | Active |
| TD SECURITIES (USA) LLC CRD: 18476 | NY | 21 | 1 | F | Active |
| TELSEY ADVISORY GROUP LLC CRD: 148234 | NY | 0 | 1 | A | Active |
| THE GLADOWSKY GROUP CRD: 45287 | NY | 1 | 1 | F | Active |
| THE KLEIN GROUP, LLC CRD: 46472 | NY | 0 | 1 | A | Active |
| THE ULTIMA GLOBAL MARKETS (USA), INC. CRD: 47895 | NY | 1 | 1 | F | Active |
| THREADMARK LP CRD: 173318 | NY | 0 | 1 | A | Active |
| TITAN GLOBAL TECHNOLOGIES LLC CRD: 312379 | NY | 0 | 1 | A | Active |
| TMX ALPHA US, LLC CRD: 329008 | NY | 0 | 1 | A | Active |
| TOPCAP PARTNERS, INC. CRD: 283457 | NY | 0 | 1 | A | Active |
| TORA TRADING SERVICES, LLC CRD: 135423 | NY | 0 | 1 | A | Active |
| TORNADO CRD: 269966 | NY | 0 | 1 | A | Active |
| TOSS SECURITIES US LLC CRD: 333338 | NY | 0 | 1 | A | Active |
| TRADEMAS INC. CRD: 130030 | NY | 7 | 1 | F | Active |
| TRADEWEB LLC CRD: 42759 | NY | 0 | 1 | A | Active |
| TRANSNATIONAL CAPITAL CORP. CRD: 135306 | NY | 0 | 1 | A | Active |
| TRIAD SECURITIES CORP CRD: 11363 | NY | 2 | 1 | F | Active |