Active broker-dealers, from the SEC's own list.
3,271 broker-dealers listed by the U.S. Securities and Exchange Commission, searchable by name, SEC file number and main-office state.
Not yet trustworthyCount not yet trustworthy: the SEC states no total for this list, so the figure is the number of entries in the file when it was read.
Source: U.S. Securities and Exchange Commission, Company Information About Active Broker-Dealers
Information last checked: 1 October 2026 (the publisher's own date for the list, not the date it was loaded here).
This page reproduces the SEC's list without alteration. If anything here differs from the SEC's records, the SEC's register prevails.
Omnified is not affiliated with or endorsed by the U.S. Securities and Exchange Commission.
The SEC's notice: the SEC does not approve or endorse any particular securities, issuers, products, services, professional credentials, firms, or individuals.
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- ACQUIOM FINANCIAL LLCActive Broker-Dealers · SEC file No. 00869408 · CO
- ADVISORS ASSET MANAGEMENT, INC.Active Broker-Dealers · SEC file No. 00851509 · CO
- ALPINA CAPITAL, LLCActive Broker-Dealers · SEC file No. 00867753 · CO
- ALPS DISTRIBUTORS, INC.Active Broker-Dealers · SEC file No. 00834626 · CO
- ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.Active Broker-Dealers · SEC file No. 00867659 · CO
- ARES MANAGEMENT CAPITAL MARKETS LLCActive Broker-Dealers · SEC file No. 00869194 · CO
- ASCENDANT FINANCIAL PARTNERS, LLCActive Broker-Dealers · SEC file No. 00867551 · CO
- ATTIS SECURITIES LLCActive Broker-Dealers · SEC file No. 00871235 · CO