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 201–250 of 296 matchingSource: SEC Company Information About Active Broker-Dealers
- PACIFIC SELECT DISTRIBUTORS, LLCActive Broker-Dealers · SEC file No. 00815264 · CA
- PALM TREE SECURITIES LLCActive Broker-Dealers · SEC file No. 00870505 · CA
- PARTNERSHIP CAPITAL GROWTH, LLCActive Broker-Dealers · SEC file No. 00867314 · CA
- PASSCO CAPITAL, INC.Active Broker-Dealers · SEC file No. 00853591 · CA
- PAYDEN & RYGEL DISTRIBUTORSActive Broker-Dealers · SEC file No. 00844622 · CA
- PELUCHIWSKI WILLIAM GEORGEActive Broker-Dealers · SEC file No. 00838497 · CA
- PENDULUM SECURITIES, LLCActive Broker-Dealers · SEC file No. 00870705 · CA
- PENSERRA SECURITIES, LLCActive Broker-Dealers · SEC file No. 00867773 · CA
- PENTEGRA DISTRIBUTORS INC.Active Broker-Dealers · SEC file No. 00842445 · CA
- PGP CAPITAL ADVISORS, LLCActive Broker-Dealers · SEC file No. 00866180 · CA
- PINNACLE CAPITAL SECURITIES, LLCActive Broker-Dealers · SEC file No. 00865263 · CA
- PLAN B INVESTMENTS, INC.Active Broker-Dealers · SEC file No. 00866978 · CA
- PLANMEMBER SECURITIES CORPORATIONActive Broker-Dealers · SEC file No. 00825065 · CA
- PLUS VENTURE PARTNERS, LLCActive Broker-Dealers · SEC file No. 00870226 · CA
- POLYGON CAPITAL ADVISORS, LLCActive Broker-Dealers · SEC file No. 00868965 · CA
- PORT SECURITIES, INC.Active Broker-Dealers · SEC file No. 00850492 · CA
- PRIVATE PORTFOLIO, INC.Active Broker-Dealers · SEC file No. 00847421 · CA
- PROBITAS FUNDS GROUP, LLCActive Broker-Dealers · SEC file No. 00853512 · CA
- PULLMAN SECURITIES, LLCActive Broker-Dealers · SEC file No. 00851234 · CA
- QATALYST PARTNERS LPActive Broker-Dealers · SEC file No. 00867887 · CA
- QUINCY CASS ASSOCIATES, INCORPORATEDActive Broker-Dealers · SEC file No. 00805743 · CA
- RA CAPITAL ASSOCIATES LLCActive Broker-Dealers · SEC file No. 00849263 · CA
- RANCE KING SECURITIES CORP.Active Broker-Dealers · SEC file No. 00831539 · CA
- RBC SECURITIES, INCActive Broker-Dealers · SEC file No. 00852265 · CA
- RED MOUNTAIN SECURITIES LLCActive Broker-Dealers · SEC file No. 00870831 · CA
- RELIANCE CAPITAL MANAGEMENT ADVISORS LLCActive Broker-Dealers · SEC file No. 00866505 · CA
- RINCON SECURITIES GROUP LLCActive Broker-Dealers · SEC file No. 00870408 · CA
- ROBERT BLUM MUNICIPALS, INC.Active Broker-Dealers · SEC file No. 00848287 · CA
- ROBERTSON STEPHENS CAPITAL MARKETS, LLCActive Broker-Dealers · SEC file No. 00870034 · CA
- ROTH CAPITAL PARTNERS, LLCActive Broker-Dealers · SEC file No. 00832129 · CA
- SAGE PARTNERS SECURITIES, LLCActive Broker-Dealers · SEC file No. 00852836 · CA
- SALEM PARTNERS, LLCActive Broker-Dealers · SEC file No. 00850241 · CA
- SECOND STREET SECURITIES, INC.Active Broker-Dealers · SEC file No. 00849829 · CA
- SECURITIES EQUITY GROUPActive Broker-Dealers · SEC file No. 00851706 · CA
- SEQUOIA EQUITIES SECURITIES CORPORATIONActive Broker-Dealers · SEC file No. 00829868 · CA
- SHAREHOLDERS SERVICE GROUP, LLCActive Broker-Dealers · SEC file No. 00865778 · CA
- SHOPOFF SECURITIES, INC.Active Broker-Dealers · SEC file No. 00867499 · CA
- SHORELINEAMBROSE ADVISORS, LLCActive Broker-Dealers · SEC file No. 00867357 · CA
- SIENA GLOBAL SECURITIES, LLCActive Broker-Dealers · SEC file No. 00868797 · CA
- SIGNATURE ESTATE SECURITIES, LLCActive Broker-Dealers · SEC file No. 00837065 · CA
- SOFI SECURITIES LLCActive Broker-Dealers · SEC file No. 00868389 · CA
- SPRINKLEBROKERAGE, INC.Active Broker-Dealers · SEC file No. 00869828 · CA
- SPROTT GLOBAL RESOURCE INVESTMENTS LTDActive Broker-Dealers · SEC file No. 00847039 · CA
- STARLIGHT FUNDING INVESTMENTS, LLCActive Broker-Dealers · SEC file No. 00852424 · CA
- STARTENGINE PRIMARY LLCActive Broker-Dealers · SEC file No. 00870060 · CA
- STAX CAPITALActive Broker-Dealers · SEC file No. 00870311 · CA
- STONEBRIDGE CAPITAL PARTNERS LLCActive Broker-Dealers · SEC file No. 00871190 · CA
- STRATEGIC MARKETING SOLUTIONS LTD., LLCActive Broker-Dealers · SEC file No. 00867741 · CA
- SUTTER SECURITIES CLEARING, LLCActive Broker-Dealers · SEC file No. 00866859 · CA
- SUTTER SECURITIES INCORPORATEDActive Broker-Dealers · SEC file No. 00845158 · CA