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.
To request a correction or removal, contact hello@getomnified.com
- U. S. BOSTON CAPITAL CORPORATIONActive Broker-Dealers · SEC file No. 00815885 · MA
- U.S. BANCORP ADVISORS, LLCActive Broker-Dealers · SEC file No. 00830706 · MN
- U.S. BANCORP INVESTMENTS, INC.Active Broker-Dealers · SEC file No. 00835359 · MN
- U.S. DISCOUNT BROKERAGE, INC.Active Broker-Dealers · SEC file No. 00848635 · GA
- U.S. SECURITIES, INTL. CORP.Active Broker-Dealers · SEC file No. 00818118 · NY
- U.S. STERLING SECURITIES, INC.Active Broker-Dealers · SEC file No. 00847052 · NY
- UBS ASSET MANAGEMENT (US) INC.Active Broker-Dealers · SEC file No. 00821901 · NY
- UBS FINANCIAL SERVICES INC.Active Broker-Dealers · SEC file No. 00816267 · TN
- UBS FUND SERVICES (USA) LLCActive Broker-Dealers · SEC file No. 00849596 · CT
- UBS SECURITIES LLCActive Broker-Dealers · SEC file No. 00822651 · NJ
- UCAP SECURITIES LLCActive Broker-Dealers · SEC file No. 00869543 · FL
- UHLMANN PRICE SECURITIES, LLCActive Broker-Dealers · SEC file No. 00850041 · IL
- UHY CAPITAL GROUP, LLCActive Broker-Dealers · SEC file No. 00853608 · MI
- ULLICO INVESTMENT COMPANY, LLCActive Broker-Dealers · SEC file No. 00866906 · MD
- ULTIMUS FUND DISTRIBUTORS, LLCActive Broker-Dealers · SEC file No. 00852643 · OH
- UMB FINANCIAL SERVICES, INC.Active Broker-Dealers · SEC file No. 00834999 · MO
- UMERGENCE LLCActive Broker-Dealers · SEC file No. 00869801 · CT
- UNEST SECURITIES, LLCActive Broker-Dealers · SEC file No. 00870576 · WY
- UNICREDIT CAPITAL MARKETS LLCActive Broker-Dealers · SEC file No. 00823081 · NY
- UNION CAPITAL COMPANYActive Broker-Dealers · SEC file No. 00853127 · AZ
- UNION SQUARE ADVISORS LLCActive Broker-Dealers · SEC file No. 00867371 · CA
- UNITED BROKERAGE SERVICES, INCActive Broker-Dealers · SEC file No. 00848685 · WV
- UNITED CAPITAL MARKETS, INC.Active Broker-Dealers · SEC file No. 00849253 · FL
- UNITED FIRST PARTNERS LLCActive Broker-Dealers · SEC file No. 00868718 · NY
- UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERActive Broker-Dealers · SEC file No. 00838485 · AZ
- UNIVERSAL FINANCIAL SERVICES INC.Active Broker-Dealers · SEC file No. 00866481 · PR
- UNIVEST SECURITIES, LLCActive Broker-Dealers · SEC file No. 00847006 · NY
- UNLU SECURITIES INC.Active Broker-Dealers · SEC file No. 00869627 · NY
- UOB GLOBAL EQUITY SALES LLCActive Broker-Dealers · SEC file No. 00865886 · NY
- UOB KAY HIAN (U.S.) INC.Active Broker-Dealers · SEC file No. 00865981 · NJ
- UPHOLD SECURITIES INC.Active Broker-Dealers · SEC file No. 00846202 · NY
- UPHORIZON, LLCActive Broker-Dealers · SEC file No. 00871171 · CA
- UPMARKET SECURITIES LLCActive Broker-Dealers · SEC file No. 00870120 · CA
- US ARMA PARTNERS LPActive Broker-Dealers · SEC file No. 00866964 · OR
- US CAPITAL GLOBAL SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869375 · CA
- US TIGER SECURITIES, INC.Active Broker-Dealers · SEC file No. 00865324 · NY
- USA FINANCIAL SECURITIES LLCActive Broker-Dealers · SEC file No. 00852342 · MI
- USAA INVESTMENT SERVICES COMPANYActive Broker-Dealers · SEC file No. 00841241 · TX
- USCA SECURITIES LLCActive Broker-Dealers · SEC file No. 00852285 · TX
- USI SECURITIES, INC.Active Broker-Dealers · SEC file No. 00850429 · CT
- USMART CAPITAL, LLCActive Broker-Dealers · SEC file No. 00871200 · NY
- USP SECURITIES CORPORATIONActive Broker-Dealers · SEC file No. 00851883 · TX
- USQ SECURITIES LLCActive Broker-Dealers · SEC file No. 00870279 · NY
- USREM SECURITIES LLCActive Broker-Dealers · SEC file No. 00870835 · NY
- UTILITY CAPITAL PARTNERS, LLCActive Broker-Dealers · SEC file No. 00870639 · TN