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 62 matchingSource: SEC Company Information About Active Broker-Dealers
- ALIGHT FINANCIAL SOLUTIONS, LLCActive Broker-Dealers · SEC file No. 00847344 · NC
- ALLY INVEST SECURITIES LLCActive Broker-Dealers · SEC file No. 00866982 · NC
- ANDERSON LENEAVE & CO.Active Broker-Dealers · SEC file No. 00852584 · NC
- ASPIDA FINANCIAL DISTRIBUTORS, LLCActive Broker-Dealers · SEC file No. 00871001 · NC
- B&D CAPITAL PARTNERS, LLCActive Broker-Dealers · SEC file No. 00870704 · NC
- BARINGS SECURITIES LLCActive Broker-Dealers · SEC file No. 00847589 · NC
- BARNABAS CAPITAL, LLCActive Broker-Dealers · SEC file No. 00870192 · NC
- BOFA SECURITIES PRIME, INC.Active Broker-Dealers · SEC file No. 00870788 · NC
- BOFA SECURITIES, INC.Active Broker-Dealers · SEC file No. 00869787 · NC
- BOURNE PARTNERS SECURITIES, LLCActive Broker-Dealers · SEC file No. 00866421 · NC
- BRIGHTHOUSE SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869845 · NC
- BUNDY GROUP SECURITIES, LLCActive Broker-Dealers · SEC file No. 00870623 · NC
- CAPFINANCIAL SECURITIES, LLC.Active Broker-Dealers · SEC file No. 00865870 · NC
- CAPITAL INVESTMENT BROKERAGE, INC.Active Broker-Dealers · SEC file No. 00849118 · NC
- CAPITAL INVESTMENT GROUP, INC.Active Broker-Dealers · SEC file No. 00831225 · NC
- CAPITAL MANAGEMENT OF THE CAROLINAS, LLCActive Broker-Dealers · SEC file No. 00853149 · NC
- CAPITALA SECURITIES, LLCActive Broker-Dealers · SEC file No. 00870342 · NC
- CAROFIN, LLCActive Broker-Dealers · SEC file No. 00870224 · NC
- CAROLINA FINANCIAL SECURITIES, LLCActive Broker-Dealers · SEC file No. 00849653 · NC
- CLEANSOURCE SECURITIES LLCActive Broker-Dealers · SEC file No. 00871077 · NC
- COHARIE TRIBAL CAPITAL LLCActive Broker-Dealers · SEC file No. 00871071 · NC
- ELEVATION, LLCActive Broker-Dealers · SEC file No. 00867306 · NC
- ENVOY SECURITIES LLCActive Broker-Dealers · SEC file No. 00871118 · NC
- EQUITY SHIFT, INC.Active Broker-Dealers · SEC file No. 00870550 · NC
- FALCON SQUARE CAPITAL, LLCActive Broker-Dealers · SEC file No. 00869147 · NC
- FENNEBRESQUE & CO., LLCActive Broker-Dealers · SEC file No. 00867857 · NC
- FIDUS SECURITIES, LLCActive Broker-Dealers · SEC file No. 00866656 · NC
- FIRST BALLANTYNE, LLCActive Broker-Dealers · SEC file No. 00865792 · NC
- FIRST CITIZENS INVESTOR SERVICES, INC.Active Broker-Dealers · SEC file No. 00850696 · NC
- FIRST TRYON SECURITIES, LLCActive Broker-Dealers · SEC file No. 00821426 · NC
- FOLLA CAPITAL, LLCActive Broker-Dealers · SEC file No. 00870399 · NC
- FORTRESS PRIVATE LEDGER, LLCActive Broker-Dealers · SEC file No. 00870027 · NC
- FOUNTAINPLACE SECURITIES PARTNERS LLCActive Broker-Dealers · SEC file No. 00870883 · NC
- HATTERAS CAPITAL DISTRIBUTORS, LLCActive Broker-Dealers · SEC file No. 00867555 · NC
- HEDGESERV INVESTMENT SERVICES LLCActive Broker-Dealers · SEC file No. 00868668 · NC
- ICG CAPITAL SECURITIES, LLCActive Broker-Dealers · SEC file No. 00869379 · NC
- INNOVATION PARTNERS LLCActive Broker-Dealers · SEC file No. 00867812 · NC
- INTERCAROLINA FINANCIAL SERVICES, INC.Active Broker-Dealers · SEC file No. 00837519 · NC
- JBS LIBERTY SECURITIES, INC.Active Broker-Dealers · SEC file No. 00847036 · NC
- LINDEN THOMAS AND COMPANY SECURITIES, LLCActive Broker-Dealers · SEC file No. 00870026 · NC
- MCDUFFIE/MORRIS FINANCIAL GROUP, INC.Active Broker-Dealers · SEC file No. 00848782 · NC
- MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDActive Broker-Dealers · SEC file No. 00807221 · NC
- MILESTONE INVESTMENTS, INC.Active Broker-Dealers · SEC file No. 00851664 · NC
- MILLENNIUM ADVISORS, LLCActive Broker-Dealers · SEC file No. 00868349 · NC
- MODERN CAPITAL SECURITIES INC.Active Broker-Dealers · SEC file No. 00866403 · NC
- NEXTIER DISTRIBUTION LLCActive Broker-Dealers · SEC file No. 00867094 · NC
- NORTH INLET ADVISORS, LLCActive Broker-Dealers · SEC file No. 00868624 · NC
- OPTSECURITIES, LLCActive Broker-Dealers · SEC file No. 00851811 · NC
- PHILPOTT BALL & WERNER, LLCActive Broker-Dealers · SEC file No. 00868785 · NC
- PIONEER CAPITAL MARKETS, INC.Active Broker-Dealers · SEC file No. 00871384 · NC