SEC Broker-Dealers Register · Public
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.
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Showing 701–750 of 914 matchingSource: SEC Company Information About Active Broker-Dealers
- ROBOTTI SECURITIES, LLCActive Broker-Dealers · SEC file No. 00828886 · NY
- ROC GLOBAL LLCActive Broker-Dealers · SEC file No. 00868605 · NY
- ROCKEFELLER FINANCIAL LLCActive Broker-Dealers · SEC file No. 00870054 · NY
- RODMAN & RENSHAW, LLCActive Broker-Dealers · SEC file No. 00869671 · NY
- RONDOUT PARTNERS, LLCActive Broker-Dealers · SEC file No. 00870190 · NY
- ROOSEVELT & CROSS, INCORPORATEDActive Broker-Dealers · SEC file No. 00819363 · NY
- ROSE & CO. CAPITAL ADVISORS, LLCActive Broker-Dealers · SEC file No. 00869298 · NY
- ROSENBLATT SECURITIES INC.Active Broker-Dealers · SEC file No. 00824255 · NY
- ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LLCActive Broker-Dealers · SEC file No. 00867320 · NY
- ROTHSCHILD & CO US INC.Active Broker-Dealers · SEC file No. 00813852 · NY
- ROYCE FUND SERVICES, LLCActive Broker-Dealers · SEC file No. 00828663 · NY
- RPP SECURITIES, LLCActive Broker-Dealers · SEC file No. 00870761 · NY
- RQD* CLEARING, LLCActive Broker-Dealers · SEC file No. 00866826 · NY
- RUFFER LLCActive Broker-Dealers · SEC file No. 00870952 · NY
- RYAN TAX CAPITAL, LLCActive Broker-Dealers · SEC file No. 00871024 · NY
- S. GOLDMAN ADVISORS, LLCActive Broker-Dealers · SEC file No. 00867229 · NY
- SAFRA SECURITIES LLCActive Broker-Dealers · SEC file No. 00851935 · NY
- SAGE, RUTTY & CO., INC.Active Broker-Dealers · SEC file No. 00800533 · NY
- SAMSUNG SECURITIES (AMERICA), INC.Active Broker-Dealers · SEC file No. 00850272 · NY
- SAMUEL A. RAMIREZ & COMPANY, INC.Active Broker-Dealers · SEC file No. 00819014 · NY
- SAND CAPITAL LLCActive Broker-Dealers · SEC file No. 00870193 · NY
- SANTANDER US CAPITAL MARKETS LLCActive Broker-Dealers · SEC file No. 00868282 · NY
- SAPENO INC.Active Broker-Dealers · SEC file No. 00865721 · NY
- SAVVY WEALTH MANAGEMENT LLCActive Broker-Dealers · SEC file No. 00871422 · NY
- SB1 CAPITAL MARKETS INCActive Broker-Dealers · SEC file No. 00868611 · NY
- SCHRODER FUND ADVISORS LLCActive Broker-Dealers · SEC file No. 00840973 · NY
- SCOTIA CAPITAL (USA) INC.Active Broker-Dealers · SEC file No. 00803716 · NY
- SEABURY SECURITIES LLCActive Broker-Dealers · SEC file No. 00849624 · NY
- SEACAP SECURITIES LLCActive Broker-Dealers · SEC file No. 00866804 · NY
- SEAPORT GLOBAL SECURITIES LLCActive Broker-Dealers · SEC file No. 00853535 · NY
- SEAPORT SECURITIES CORP.Active Broker-Dealers · SEC file No. 00824971 · NY
- SEB SECURITIES, INC.Active Broker-Dealers · SEC file No. 00840644 · NY
- SECFI SECURITIES, LLCActive Broker-Dealers · SEC file No. 00870457 · NY
- SENAHILL SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869215 · NY
- SEVEN POINTS CAPITAL, LLCActive Broker-Dealers · SEC file No. 00867644 · NY
- SEXTANT SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869772 · NY
- SG AMERICAS SECURITIES, LLCActive Broker-Dealers · SEC file No. 00866125 · NY
- SGI SECURITIES LLCActive Broker-Dealers · SEC file No. 00868732 · NY
- SGMA CAPITAL MARKETS LIMITEDActive Broker-Dealers · SEC file No. 00866911 · NY
- SGP SECURITIES, LLCActive Broker-Dealers · SEC file No. 00871225 · NY
- SHAREGAIN SECURITIES INCActive Broker-Dealers · SEC file No. 00870867 · NY
- SHARENETT SECURITIES LLCActive Broker-Dealers · SEC file No. 00868326 · NY
- SHELTER ROCK CAPITAL GROUP LLCActive Broker-Dealers · SEC file No. 00868818 · NY
- SI SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869440 · NY
- SIDOTI & COMPANY, LLCActive Broker-Dealers · SEC file No. 00852141 · NY
- SIEBERT WILLIAMS SHANK & CO., LLCActive Broker-Dealers · SEC file No. 00849877 · NY
- SIGMA AMERICAS SECURITIES LLCActive Broker-Dealers · SEC file No. 00869616 · NY
- SIGULER GUFF GLOBAL MARKETS, LLCActive Broker-Dealers · SEC file No. 00868996 · NY
- SILVER LEAF PARTNERS, LLCActive Broker-Dealers · SEC file No. 00865902 · NY
- SILVERGROVE ADVISORS LLCActive Broker-Dealers · SEC file No. 00868301 · NY