Broker-Dealer Firms
50 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 |
|---|---|---|---|---|---|
| 1851 SECURITIES, INC CRD: 153006 | CT | 0 | 1 | A | Active |
| A.G.P. / ALLIANCE GLOBAL PARTNERS CRD: 8361 | CT | 21 | 1 | F | Active |
| AMA SECURITIES LLC CRD: 45988 | CT | 0 | 1 | A | Active |
| AQR INVESTMENTS, LLC CRD: 289244 | CT | 0 | 1 | A | Active |
| BABCOCK & BROWN SECURITIES LLC CRD: 169440 | CT | 0 | 1 | A | Active |
| BCP SECURITIES, INC. CRD: 27063 | CT | 1 | 1 | F | Active |
| BCW SECURITIES LLC CRD: 144930 | CT | 0 | 1 | A | Active |
| BUELL SECURITIES CORP. CRD: 1342 | CT | 6 | 1 | F | Active |
| C&C TRADING L.L.C. CRD: 39302 | CT | 5 | 1 | F | Active |
| CARTER CAPITAL CORPORATION CRD: 23521 | CT | 0 | 1 | A | Active |
| CC SECURITIES, LLC CRD: 153523 | CT | 0 | 1 | A | Active |
| CFS SECURITIES, INC. CRD: 46201 | CT | 0 | 1 | A | Active |
| CICADA SECURITIES CRD: 314109 | CT | 0 | 1 | A | Active |
| CRITO CAPITAL LLC CRD: 161724 | CT | 0 | 1 | A | Active |
| DWM FINANCE LLC CRD: 137513 | CT | 0 | 1 | A | Active |
| ERG SECURITIES (US) LLC CRD: 121057 | CT | 0 | 1 | A | Active |
| GP NURMENKARI INC. CRD: 153480 | CT | 0 | 1 | A | Active |
| GPP SECURITIES, LLC CRD: 285223 | CT | 0 | 1 | A | Active |
| GQR SECURITIES LLC CRD: 300998 | CT | 0 | 1 | A | Active |
| GRAY OAK CAPITAL, LLC CRD: 290056 | CT | 0 | 1 | A | Active |
| HARLEY CAPITAL LLC CRD: 310046 | CT | 0 | 1 | A | Active |
| HEG SECURITIES, LLC CRD: 330096 | CT | 0 | 1 | A | Active |
| HERBERT J. SIMS & CO, INC. CRD: 3420 | CT | 10 | 1 | F | Active |
| ICR CAPITAL LLC CRD: 174952 | CT | 0 | 1 | A | Active |
| INTELLIGENT CROSS LLC CRD: 288946 | CT | 0 | 1 | A | Active |
| INTERACTIVE BROKERS CORP. CRD: 117942 | CT | 3 | 1 | F | Active |
| KELSON CAPITAL LLC CRD: 149477 | CT | 0 | 1 | A | Active |
| M.M. DILLON & CO. LLC CRD: 19878 | CT | 2 | 1 | F | Active |
| MCSA SECURITIES LLC CRD: 335417 | CT | 0 | 1 | A | Active |
| NEAR EARTH, LLC CRD: 126041 | CT | 0 | 1 | A | Active |
| OASIS PRO MARKETS LLC CRD: 149420 | CT | 0 | 1 | A | Active |
| OPTIMX SECURITIES LLC CRD: 290963 | CT | 0 | 1 | A | Active |
| OSAIC INSTITUTIONS, INC. CRD: 35371 | CT | 9 | 1 | F | Active |
| P. A. N. SECURITIES, LP CRD: 104823 | CT | 1 | 1 | F | Active |
| REALTYX, LLC CRD: 316304 | CT | 0 | 1 | A | Active |
| SAYBRUS EQUITY SERVICES, LLC CRD: 153319 | CT | 0 | 1 | A | Active |
| SEARLE & CO. CRD: 13035 | CT | 4 | 1 | F | Active |
| SKYWORKS SECURITIES, LLC CRD: 128985 | CT | 0 | 1 | A | Active |
| STARWOOD CAPITAL, L.L.C. CRD: 146057 | CT | 0 | 1 | A | Active |
| STOCK SECURITIES LLC CRD: 32244 | CT | 2 | 1 | F | Active |
| STONE KEY SECURITIES LLC CRD: 152341 | CT | 0 | 1 | A | Active |
| TNCP, LLC CRD: 150134 | CT | 0 | 1 | A | Active |
| UBS FUND SERVICES (USA) LLC CRD: 41848 | CT | 0 | 1 | A | Active |
| UMERGENCE LLC CRD: 284368 | CT | 0 | 1 | A | Active |
| USI SECURITIES, INC. CRD: 43793 | CT | 0 | 1 | A | Active |
| VISTINA ADVISORY LLC CRD: 337987 | CT | 0 | 1 | A | Active |
| W G SECURITIES, LLC CRD: 140869 | CT | 0 | 1 | A | Active |
| WESTBURY GROUP LLC CRD: 129985 | CT | 0 | 1 | A | Active |
| XT CAPITAL PARTNERS, LLC CRD: 118719 | CT | 0 | 1 | A | Active |
| ZENITH SECURITIES LLC CRD: 138135 | CT | 0 | 1 | A | Active |