Broker Dealers

A broker-dealer (B-D) is a person or firm in the business of buying and selling securities for its own account or on behalf of its customers. The term broker-dealer is used in U.S. securities regulation parlance to describe stock brokerages because most of them act as both agents and principals.


What You Should Know About the Data File

This ascii text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.

The information in this file is raw data — data that is meant to be used as input to another program. The data items are provided as a “tab delimited” file. Although the file can be viewed in any program that accepts ASCII text (for example, a word processor), the data fields are best viewed when imported into a program that accepts delimited data, such as a spreadsheet. The record layout and maximum field sizes are shown below for those who want to process the data into another form.

Coming Soon! More than 1,800 territories, nationwide!

Phase I of our plan is to recruit and train more than 1,800 independent broker-dealers in pre-defined territories throughout the United States. 

Each territory will have a lead BD and as many BDs that each market can support.  We plan to offer the right of first refusal to current independent broker-dealers and then encourage qualified people to take the required BD exams and register on our platform.

The purpose of the territories is to localize and facilitate communication between the local retail and institutional investors within the territory of the BD.  The platform will market and drive awareness of the alternative trading systems on this platform (see the Trading Systems link in the top menu).


Phase II will begin once we establish a strong presence in at least 20% of the licensed territories. The plan is to eventually link all ATS platforms licensed on this platform through API. There are no plans to launch our own Broker Dealer; however, if we do not generate interest by existing dealerships, we may consider launching our own dealership in the future.

All recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms’ year end, unless noted.


Advisor Group

Alden Investment Group

Allstate Financial Services LLC

American Portfolios Financial Services Inc.

Ameriprise Financial Services, LLC

Ameritas Investment Company/Ameritas Advisory Services

Arete Wealth

Arkadios Capital

Atria Wealth Solutions

Ausdal Financial Partners

Avantax Investment Services, Inc.

BCG Securities, Inc.

Bernardi Securities Inc.

Berthel Fisher & Co. Financial Services Inc.

Bolton Global Capital

Broker Dealer Financial Services Corp.

Cadaret, Grant & Co. Inc.

Calton & Associates Inc.

Cambridge Investment Research Inc.

Cantella & Co. Inc.

Capital Analysts Inc.

Capital Investment Co.

Centaurus Financial, Inc.

Century Securities Associates Inc.

Cetera Advisor Networks

Cetera Advisors

Cetera Financial Institutions

Cetera Financial Specialists

CFD Investments Inc.

Commonwealth Equity Services, LLC dba-Commonwealth Financial Network

Concourse Financial Group Securities, Inc.

Coordinated Capital Securities Inc.

Correll Co. Investment Services Corp.

Crown Capital Securities L.P.

CUNA Brokerage Services Inc.

Cutter & Company, Inc.

D.A. Davidson & Co.

David A. Noyes & Company

Edward Jones

Equitable Advisors, LLC

Equity Services Inc.

Finance 500 Inc.

Financial Services International Corp.

Financial Telesis Inc.

First Allied Securities, Inc.

First Republic Securities Co.

Foothill Securities Inc.

Foresters Equity Services Inc.

Fortune Financial Services, Inc.

Founders Financial

FSC Securities Corp.

GBS Financial Corp.

Geneos Wealth Management Inc.

Grove Point Financial, LLC

Harbor Financial Services LLC

Harbour Investments Inc.

Hilltop Securities Independent Network Inc.

Hornor, Townsend & Kent, LLC

Independent Financial Group, LLC

Infinity Financial Services

ING Advisor Network Inc.

INVEST Financial Corp.

Investacorp Inc.

The Investment Center Inc.

Investment Centers of America Inc.

J.W. Cole Financial Inc.

Kalos Capital Inc.

Kestra Financial, Inc

KMS Financial Services, Inc.

Kovack Securities, Inc.

LaSalle St. Securities LLC

Leonard & Co.

LifeMark Securities Corp.

Lincoln Financial Network

Lincoln Investment Planning, LLC

LPL Financial LLC

M Holdings Securities Inc. (M Securities)

MetLife Inc.

MML Investors Services, LLC

National Planning Corporation (NPC)

National Securities Corp.

Nationwide Planning Associates, Inc.

New England Securities Inc.

NEXT Financial Group, Inc.

Northwestern Mutual Investment Services

The O.N. Equity Sales Co.

Packerland Brokerage Services Inc.

Park Avenue Securities LLC

Parkland Securities, LLC

PlanMember Securities Corp.

Principal Securities, Inc.

Prospera Financial Services Inc.

Protected Investors of America Inc.

Quest Capital Strategies Inc.

Questar Capital Corp.

Quincy Cass Associates Inc.

Raymond James Financial Services Inc.

Royal Alliance Associates Inc.

SA Stone

SagePoint Financial Inc.

SCF Securities Inc.

Schwab Independent Branch Services (Franchise)

Securian Financial Services Inc.

Securities America Inc.

Securities Management and Research

Securities Service Network LLC

Sigma Financial Corp.

Signator Investors Inc.

SII Investments Inc.

Spire Investment Partners LLC

St. Bernard Financial Services Inc.

The Strategic Financial Alliance Inc.

Summit Brokerage Services, Inc.

Synergy Investment Group

TFS Securities Inc.

The Leaders Group

Thurston Springer Miller Herd & Titak

Tower Square Securities Inc.

Transamerica Financial Advisors, Inc.

Triad Advisors, LLC

TriCor Financial LLC

Trustmont Financial Group Inc.


United Planners Financial Services

Vanderbilt Financial Group

vFinance Investments Inc.

Voya Financial Advisors Inc.

Waddell & Reed Financial Advisors

Wall Street Access

Walnut Street Securities Inc.

Wells Fargo Advisors Financial Network

Williams Financial Group

Woodbury Financial Services

World Capital Brokerage, Inc.

WRP Investments Inc.

Wunderlich Securities Inc.

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