Broker-Dealer Firms
14 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 |
|---|---|---|---|---|---|
| 1031 SECURITIES INC. CRD: 326590 | MI | 0 | 1 | A | Active |
| AURORA SECURITIES CRD: 46147 | MI | 0 | 1 | A | Active |
| BURNHAM & FLOWER FINANCIAL, INC. CRD: 114006 | MI | 0 | 1 | A | Active |
| CIG SECURITIES CRD: 129864 | MI | 0 | 1 | A | Active |
| DONNELLY PENMAN & PARTNERS CRD: 104448 | MI | 2 | 1 | F | Active |
| GCG SECURITIES, LLC CRD: 324243 | MI | 0 | 1 | A | Active |
| HSIP SECURITIES, LLC CRD: 332851 | MI | 0 | 1 | A | Active |
| J.W. KORTH & COMPANY CRD: 26455 | MI | 7 | 1 | F | Active |
| JAG TRADING L.L.C. CRD: 114061 | MI | 4 | 1 | F | Active |
| KRAMBO CORPORTION CRD: 6759 | MI | 0 | 1 | A | Active |
| RAM FINANCIAL LLC CRD: 330235 | MI | 0 | 1 | A | Active |
| SRT SECURITIES LLC CRD: 33725 | MI | 25 | 1 | F | Active |
| UHY CAPITAL GROUP, LLC CRD: 117867 | MI | 0 | 1 | A | Active |
| WWF SECURITIES, LLC CRD: 312763 | MI | 0 | 1 | A | Active |