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 |
|---|---|---|---|---|---|
| TRIDENT PARTNERS LTD. CRD: 41258 | NY | 9 | 1 | F | Active |
| TRIVE NEW YORK LLC CRD: 21946 | NY | 1 | 1 | F | Active |
| TTBD, LLC CRD: 327863 | NY | 0 | 1 | A | Active |
| TWO SIGMA SECURITIES, LLC CRD: 148960 | NY | 18 | 1 | F | Active |
| U.S. SECURITIES, INTL. CORP. CRD: 11238 | NY | 9 | 1 | F | Active |
| U.S. STERLING SECURITIES, INC. CRD: 35912 | NY | 0 | 1 | A | Active |
| UBS ASSET MANAGEMENT (US) INC. CRD: 583 | NY | 10 | 1 | F | Active |
| UBS SECURITIES LLC CRD: 7654 | NY | 317 | 1 | F | Active |
| UNICREDIT CAPITAL MARKETS LLC CRD: 7789 | NY | 3 | 1 | F | Active |
| UNITED FIRST PARTNERS LLC CRD: 155456 | NY | 4 | 1 | F | Active |
| UNIVEST SECURITIES, LLC CRD: 36105 | NY | 2 | 1 | F | Active |
| UNLU SECURITIES INC. CRD: 238786 | NY | 0 | 1 | A | Active |
| UOB GLOBAL EQUITY SALES LLC CRD: 126500 | NY | 0 | 1 | A | Active |
| UPHOLD SECURITIES INC. CRD: 34071 | NY | 1 | 1 | F | Active |
| US ARMA PARTNERS LP CRD: 136024 | NY | 0 | 1 | A | Active |
| US TIGER SECURITIES, INC. CRD: 120583 | NY | 3 | 1 | F | Active |
| USMART CAPITAL, LLC CRD: 329365 | NY | 0 | 1 | A | Active |
| USQ SECURITIES LLC CRD: 299008 | NY | 1 | 1 | F | Active |
| USREM SECURITIES LLC CRD: 317571 | NY | 0 | 1 | A | Active |
| VAN LANSCHOT KEMPEN (USA) INC. CRD: 38760 | NY | 2 | 1 | F | Active |
| VAXA PARTNERS LLC CRD: 334867 | NY | 0 | 1 | A | Active |
| VCS VENTURE SECURITIES CRD: 127921 | NY | 3 | 1 | F | Active |
| VIRTU AMERICAS LLC CRD: 149823 | NY | 75 | 1 | F | Active |
| VNTR SECURITIES LLC CRD: 283856 | NY | 0 | 1 | A | Active |
| WEDBUSH & CO., LLC CRD: 328492 | NY | 0 | 1 | A | Active |
| WEMATCH.LIVE LLC CRD: 322944 | NY | 0 | 1 | A | Active |
| WESTCO INVESTMENT CORP. CRD: 20744 | NY | 0 | 1 | A | Active |
| WILLIS TOWERS WATSON SECURITIES, LLC CRD: 317602 | NY | 0 | 1 | A | Active |
| WILLOW WEALTH MARKETS LLC CRD: 172295 | NY | 0 | 1 | A | Active |
| WISE US ASSETS INC CRD: 329919 | NY | 0 | 1 | A | Active |
| XP INVESTMENTS US, LLC CRD: 156691 | NY | 3 | 1 | F | Active |
| XTELLUS CAPITAL PARTNERS, INC. CRD: 156048 | NY | 0 | 1 | A | Active |
| XTX EXECUTION SERVICES LLC CRD: 309266 | NY | 0 | 1 | A | Active |
| XTX MARKETS LLC CRD: 289846 | NY | 0 | 1 | A | Active |
| YORK SECURITIES, INC. CRD: 8056 | NY | 8 | 1 | F | Active |
| YORK STOCKBROKERS, INC. CRD: 102740 | NY | 1 | 1 | F | Active |
| YOUNG & PARTNERS LLC CRD: 40702 | NY | 0 | 1 | A | Active |
| YOUNG AMERICA CAPITAL, LLC CRD: 150443 | NY | 1 | 1 | F | Active |
| ZL ZENITHAR (USA) CRD: 321941 | NY | 0 | 1 | A | Active |
| ZOE SECURITIES LLC CRD: 326979 | NY | 0 | 1 | A | Active |
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