Broker-Dealer Firms
10 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 |
|---|---|---|---|---|---|
| AEGIS INVESTMENTS, INC. CRD: 16033 | MN | 2 | 1 | F | Active |
| AEI SECURITIES, INC. CRD: 6158 | MN | 4 | 1 | F | Active |
| AETHLON CAPITAL, L.L.C CRD: 42241 | MN | 1 | 1 | F | Active |
| DORN & CO., INC. CRD: 2950 | MN | 3 | 1 | F | Active |
| HENNEPIN PARTNERS LLC CRD: 153034 | MN | 0 | 1 | A | Active |
| SIA SECURITIES CORPORATION CRD: 35403 | MN | 1 | 1 | F | Active |
| THE M & A GROUP LLC CRD: 144909 | MN | 0 | 1 | A | Active |
| TRIPLETREE, LLC CRD: 42820 | MN | 0 | 1 | A | Active |
| U.S. BANCORP ADVISORS, LLC CRD: 14455 | MN | 5 | 1 | F | Active |
| U.S. BANCORP INVESTMENTS, INC. CRD: 17868 | MN | 29 | 1 | F | Active |