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.
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
Showing 1–49 of 49 matchingSource: SEC Company Information About Active Broker-Dealers
- ADVANCED ADVISOR GROUP, LLCActive Broker-Dealers · SEC file No. 00867313 · MN
- AEGIS INVESTMENTS, INC.Active Broker-Dealers · SEC file No. 00833137 · MN
- AEI SECURITIES, INC.Active Broker-Dealers · SEC file No. 00816750 · MN
- AETHLON CAPITAL, L.L.CActive Broker-Dealers · SEC file No. 00849765 · MN
- ALLIANZ LIFE FINANCIAL SERVICES, LLCActive Broker-Dealers · SEC file No. 00813630 · MN
- AMERICAN ENTERPRISE INVESTMENT SERVICES INC.Active Broker-Dealers · SEC file No. 00842582 · MN
- AMERIPRISE FINANCIAL SERVICES, LLCActive Broker-Dealers · SEC file No. 00816791 · MN
- CAPITAL MANAGEMENT SECURITIES, INC.Active Broker-Dealers · SEC file No. 00827779 · MN
- CAUSEWAY SECURITIES LLCActive Broker-Dealers · SEC file No. 00870789 · MN
- CCS TRANSACTIONS, LLCActive Broker-Dealers · SEC file No. 00868203 · MN
- CEDAR POINT CAPITAL, LLCActive Broker-Dealers · SEC file No. 00867704 · MN
- CETERA ADVISORS LLCActive Broker-Dealers · SEC file No. 00826892 · MN
- CETERA INVESTMENT SERVICES LLCActive Broker-Dealers · SEC file No. 00831826 · MN
- CETERA WEALTH SERVICES, LLCActive Broker-Dealers · SEC file No. 00829577 · MN
- CHERRY TREE & ASSOCIATES, LLCActive Broker-Dealers · SEC file No. 00853469 · MN
- CLIFTONLARSONALLEN WEALTH ADVISORS, LLCActive Broker-Dealers · SEC file No. 00848239 · MN
- COLLIERS SECURITIES LLCActive Broker-Dealers · SEC file No. 00821937 · MN
- CRAIG-HALLUM CAPITAL GROUP LLCActive Broker-Dealers · SEC file No. 00865407 · MN
- DORN & CO., INC.Active Broker-Dealers · SEC file No. 00808707 · MN
- FELTL & COMPANYActive Broker-Dealers · SEC file No. 00818435 · MN
- FINANCE OF AMERICA SECURITIES LLCActive Broker-Dealers · SEC file No. 00869803 · MN
- GRADIENT SECURITIES, LLCActive Broker-Dealers · SEC file No. 00866032 · MN
- HENNEPIN PARTNERS LLCActive Broker-Dealers · SEC file No. 00868498 · MN
- KINGFISHER SECURITIES, LLCActive Broker-Dealers · SEC file No. 00852271 · MN
- LAGOON ADVISORY PARTNERS, LLCActive Broker-Dealers · SEC file No. 00870655 · MN
- LAKE STREET CAPITAL MARKETS, LLCActive Broker-Dealers · SEC file No. 00869101 · MN
- LOCORR DISTRIBUTORS, LLCActive Broker-Dealers · SEC file No. 00849568 · MN
- MARTINSON & COMPANY, LTD.Active Broker-Dealers · SEC file No. 00835180 · MN
- NORTHBORNE SECURITIES PARTNERS LLCActive Broker-Dealers · SEC file No. 00870781 · MN
- NORTHLAND SECURITIES, INC.Active Broker-Dealers · SEC file No. 00848994 · MN
- OCEAN PARK SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869722 · MN
- PIPER SANDLER & CO.Active Broker-Dealers · SEC file No. 00815204 · MN
- POLAR INVESTMENT COUNSEL, INC.Active Broker-Dealers · SEC file No. 00850039 · MN
- RBC CAPITAL MARKETS, LLCActive Broker-Dealers · SEC file No. 00845411 · MN
- RIVERSOURCE DISTRIBUTORS, INC.Active Broker-Dealers · SEC file No. 00867196 · MN
- SECURIAN FINANCIAL SERVICES, INC.Active Broker-Dealers · SEC file No. 00831955 · MN
- SIA SECURITIES CORP.Active Broker-Dealers · SEC file No. 00846668 · MN
- SILICON PRAIRIE CAPITAL PARTNERS, LLCActive Broker-Dealers · SEC file No. 00869625 · MN
- T. E. LAIRD SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869386 · MN
- THE M & A GROUP LLCActive Broker-Dealers · SEC file No. 00867684 · MN
- THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.Active Broker-Dealers · SEC file No. 00850082 · MN
- THRIVENT DISTRIBUTORS, LLCActive Broker-Dealers · SEC file No. 00869606 · MN
- THRIVENT INVESTMENT MANAGEMENT INC.Active Broker-Dealers · SEC file No. 00836525 · MN
- TRIPLETREE, LLCActive Broker-Dealers · SEC file No. 00850015 · MN
- 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
- VAN CLEMENS & CO. INCORPORATEDActive Broker-Dealers · SEC file No. 00818414 · MN
- WALLEYE TRADING LLCActive Broker-Dealers · SEC file No. 00866988 · MN
- WEALTH ENHANCEMENT BROKERAGE SERVICES, LLCActive Broker-Dealers · SEC file No. 00866305 · MN