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 1–50 of 56 matchingSource: SEC Company Information About Active Broker-Dealers
- 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
- BASEROCK CAPITAL, LLCActive Broker-Dealers · SEC file No. 00871191 · CO
- BEAR CREEK SECURITIES LLCActive Broker-Dealers · SEC file No. 00867265 · CO
- BRITEHORN SECURITIESActive Broker-Dealers · SEC file No. 00847217 · CO
- CASCADE INVESTMENT GROUP, INC.Active Broker-Dealers · SEC file No. 00846943 · CO
- CLASS VI SECURITIES, LLCActive Broker-Dealers · SEC file No. 00868068 · CO
- CLEARCREEK SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869393 · CO
- COLORADO FINANCIAL SERVICE CORPORATIONActive Broker-Dealers · SEC file No. 00852817 · CO
- D-MERC SERVICES LLCActive Broker-Dealers · SEC file No. 00870072 · CO
- EFCG TRANSACTION SERVICES LLCActive Broker-Dealers · SEC file No. 00871307 · CO
- EMPOWER FINANCIAL SERVICES, INC.Active Broker-Dealers · SEC file No. 00833854 · CO
- FCA CAPITAL MARKETS LLCActive Broker-Dealers · SEC file No. 00870970 · CO
- FIRST HILL SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869212 · CO
- FMI CAPITAL ADVISORS, INC.Active Broker-Dealers · SEC file No. 00866206 · CO
- GENEOS WEALTH MANAGEMENT, INC.Active Broker-Dealers · SEC file No. 00865357 · CO
- GILL CAPITAL PARTNERS, LLCActive Broker-Dealers · SEC file No. 00830563 · CO
- GVC CAPITAL LLCActive Broker-Dealers · SEC file No. 00848465 · CO
- HARVESTONS SECURITIES, INC.Active Broker-Dealers · SEC file No. 00846293 · CO
- HUDSONWEST LLCActive Broker-Dealers · SEC file No. 00870384 · CO
- INTEGRIS SECURITIES, LLCActive Broker-Dealers · SEC file No. 00844710 · CO
- ISAAK BOND INVESTMENTS, INC.Active Broker-Dealers · SEC file No. 00821410 · CO
- JANUS HENDERSON DISTRIBUTORS US LLCActive Broker-Dealers · SEC file No. 00843810 · CO
- JW & CO. SECURITIES, LLCActive Broker-Dealers · SEC file No. 00871099 · CO
- LARIMER CAPITAL CORPORATIONActive Broker-Dealers · SEC file No. 00836594 · CO
- MACARTHUR STRATEGIC CAPITAL, LLCActive Broker-Dealers · SEC file No. 00870736 · CO
- MAINLINE WEST MUNICIPAL SECURITIES LLCActive Broker-Dealers · SEC file No. 00867952 · CO
- PARALEL DISTRIBUTORS LLCActive Broker-Dealers · SEC file No. 00870771 · CO
- PARSONEX SECURITIES, INC.Active Broker-Dealers · SEC file No. 00867652 · CO
- PINE DISTRIBUTORS LLCActive Broker-Dealers · SEC file No. 00871004 · CO
- PLEXUS ENERGY CAPITAL, LLCActive Broker-Dealers · SEC file No. 00867155 · CO
- PRESIDIO MERCHANT PARTNERS LLCActive Broker-Dealers · SEC file No. 00851431 · CO
- Q ADVISORS LLCActive Broker-Dealers · SEC file No. 00865975 · CO
- QUADRIGA SECURITIES, LLCActive Broker-Dealers · SEC file No. 00868580 · CO
- REEVES, RICHARD GORDONActive Broker-Dealers · SEC file No. 00870210 · CO
- REYNOLDS ADVISORY PARTNERS, LLCActive Broker-Dealers · SEC file No. 00867918 · CO
- RFS PARTNERSActive Broker-Dealers · SEC file No. 00836128 · CO
- SAGE CANYON ADVISORS, LLCActive Broker-Dealers · SEC file No. 00867238 · CO
- SDR CAPITAL MARKETS, LLCActive Broker-Dealers · SEC file No. 00869430 · CO
- SOVEREIGN GLOBAL ADVISORS LLCActive Broker-Dealers · SEC file No. 00869274 · CO
- STONEPINE ADVISORS, LLCActive Broker-Dealers · SEC file No. 00868618 · CO
- STORY3 ADVISORS LLCActive Broker-Dealers · SEC file No. 00869997 · CO
- SUPPORT SERVICES FINANCIAL ADVISORS, INC.Active Broker-Dealers · SEC file No. 00851513 · CO
- SYNAPSE BROKERAGE LLCActive Broker-Dealers · SEC file No. 00867105 · CO