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 |
|---|---|---|---|---|---|
| 1964 GLOBAL CRD: 139091 | NY | 1 | 1 | F | Active |
| 22V SECURITIES LLC CRD: 327657 | NY | 0 | 1 | A | Active |
| 360 ONE INC. CRD: 329291 | NY | 0 | 1 | A | Active |
| 5D PARTNERS LLC CRD: 308304 | NY | 0 | 1 | A | Active |
| 777 SECURITIES CRD: 288294 | NY | 0 | 1 | A | Active |
| A. P. SECURITIES, INC. CRD: 27041 | NY | 0 | 1 | A | Active |
| A5 SECURITIES LLC CRD: 288410 | NY | 0 | 1 | A | Active |
| ABG, LLC CRD: 167190 | NY | 0 | 1 | A | Active |
| ABSA SECURITIES U.S. INC. CRD: 299729 | NY | 0 | 1 | A | Active |
| ACCEPTUS CAPITAL CORP. CRD: 282755 | NY | 0 | 1 | A | Active |
| AEGIS CAPITAL CORP. CRD: 15007 | NY | 42 | 1 | F | Active |
| AFW ASSOCIATES LLC CRD: 289429 | NY | 0 | 1 | A | Active |
| ANZ SECURITIES, INC. CRD: 36654 | NY | 3 | 1 | F | Active |
| ARDEA PARTNERS LP CRD: 283558 | NY | 0 | 1 | A | Active |
| ARK GLOBAL, LLC CRD: 172684 | NY | 0 | 1 | A | Active |
| ARKONIS CAPITAL LLC CRD: 147798 | NY | 0 | 1 | A | Active |
| ARROW INVESTMENTS, INC. CRD: 45936 | NY | 0 | 1 | A | Active |
| ASPEN ALPINE CAPITAL LLC CRD: 309099 | NY | 0 | 1 | A | Active |
| AVIOR CAPITAL MARKETS US, LLC CRD: 172595 | NY | 0 | 1 | A | Active |
| AXIS CAPITAL USA, LLC CRD: 293368 | NY | 0 | 1 | A | Active |
| BAADER HELVEA INC. CRD: 132007 | NY | 0 | 1 | A | Active |
| BANCTRUST SECURITIES USA CRD: 313116 | NY | 0 | 1 | A | Active |
| BARCLAYS CAPITAL INC. CRD: 19714 | NY | 161 | 1 | F | Active |
| BBVA SECURITIES INC. CRD: 27060 | NY | 10 | 1 | F | Active |
| BELMONT CAPITAL CRD: 153792 | NY | 3 | 1 | F | Active |
| BGC FINANCIAL, L.P. CRD: 19801 | NY | 36 | 1 | F | Active |
| BIDS TRADING L.P. CRD: 141296 | NY | 2 | 1 | F | Active |
| BLAYLOCK VAN, LLC CRD: 145317 | NY | 2 | 1 | F | Active |
| BLUE DIAMOND SECURITIES OF AMERICA LLC CRD: 158821 | NY | 0 | 1 | A | Active |
| BLUE OWL SECURITIES CRD: 283250 | NY | 0 | 1 | A | Active |
| BMO CAPITAL MARKETS CORP. CRD: 16686 | NY | 47 | 1 | F | Active |
| BMS CAPITAL ADVISORY, INC. CRD: 169092 | NY | 0 | 1 | A | Active |
| BOFA SECURITIES, INC. CRD: 283942 | NY | 71 | 1 | F | Active |
| BONDS.COM LLC CRD: 43875 | NY | 1 | 1 | F | Active |
| BREN VENTURES LLC CRD: 139768 | NY | 0 | 1 | A | Active |
| BRENDAN E. CRYAN AND COMPANY, L.L.C. CRD: 33496 | NY | 5 | 1 | F | Active |
| BREVAN HOWARD US LLC CRD: 150662 | NY | 0 | 1 | A | Active |
| BRIGHTON SECURITIES CORP. CRD: 3875 | NY | 8 | 1 | F | Active |
| BROWN BROTHERS HARRIMAN INVESTMENTS, LLC CRD: 282732 | NY | 0 | 1 | A | Active |
| BTG PACTUAL US CAPITAL, LLC CRD: 149486 | NY | 2 | 1 | F | Active |
| BTM CONSULTING USA, LLC CRD: 327140 | NY | 0 | 1 | A | Active |
| BUNQ CRD: 334829 | NY | 0 | 1 | A | Active |
| CAIS CAPITAL LLC CRD: 154512 | NY | 0 | 1 | A | Active |
| CAMPFIRE CAPITAL CRD: 168457 | NY | 1 | 1 | F | Active |
| CANTOR FITZGERALD & CO. CRD: 134 | NY | 97 | 1 | F | Active |
| CAPITAL DYNAMICS BROKER DEALER LLC CRD: 148780 | NY | 0 | 1 | A | Active |
| CAVU SECURITIES LLC CRD: 6906 | NY | 0 | 1 | A | Active |
| CG COMPASS (USA) LLC CRD: 129837 | NY | 1 | 1 | F | Active |
| CHURCHILL CAPITAL USA, INC. CRD: 143278 | NY | 0 | 1 | A | Active |
| CIBC WORLD MARKETS CORP. CRD: 630 | NY | 162 | 1 | F | Active |
Page 1 of 7 (340 total)