Security Brokers, Dealers & Flotation Companies
184 tracked issuers filing with the SEC under this industry classification.
Issuers
184
Filings
40
SIC Code
6211
Industry Overview
Security Brokers, Dealers & Flotation Companies
Security brokers, dealers, and flotation companies classified under SIC 6211 serve as the primary intermediaries between capital markets and investors, underwriting new issues, executing equity, fixed-income, and derivatives trades, and providing research, liquidity, and market-making services. Their customers range from retail traders and high-net-worth individuals to hedge funds, pension plans, and corporate issuers seeking access to public equity or debt. The sector operates under intense oversight from the SEC, FINRA, and global prudential regulators, facing risks from market volatility, counterparty exposure, operational failures, cyber threats, and compliance missteps that can trigger heavy fines or reputational damage. In 2024–2025, the industry is being reshaped by electronic trading, AI-driven analytics, zero-commission business models, tokenization pilots, and growing demand for transparency around execution quality and ESG-related disclosures. To track how these dynamics flow through real companies, investors can review live SEC filings and updates directly on Earnings Feed.
Source: Earnings Feed research · Nov 23
Latest Filings
- SCHEDULE 13G/APITNEY BOWES INC /DE/$BLK
PITNEY BOWES INC /DE/ SCHEDULE 13G/A
Apr 7, 3:38 PM ET11.8 KB - SCHEDULE 13G/ACore & Main, Inc.$BLK
Core & Main, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13GSphere Entertainment Co.$BLK
Sphere Entertainment Co. SCHEDULE 13G
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13GZoomInfo Technologies Inc.$BLK
ZoomInfo Technologies Inc. SCHEDULE 13G
Apr 7, 12:39 PM ET11.0 KB - SCHEDULE 13GLyft, Inc.$BLK
Lyft, Inc. SCHEDULE 13G
Apr 7, 12:39 PM ET11.0 KB - SCHEDULE 13G/ALamb Weston Holdings, Inc.$BLK
Lamb Weston Holdings, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.0 KB - SCHEDULE 13GKeros Therapeutics, Inc.$BLK
Keros Therapeutics, Inc. SCHEDULE 13G
Apr 7, 12:39 PM ET10.8 KB - SCHEDULE 13G/APlanet Fitness, Inc.$BLK
Planet Fitness, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13GPaycom Software, Inc.$BLK
Paycom Software, Inc. SCHEDULE 13G
Apr 7, 12:39 PM ET11.0 KB - SCHEDULE 13GLife360, Inc.$BLK
Life360, Inc. SCHEDULE 13G
Apr 7, 12:39 PM ET10.9 KB - SCHEDULE 13GScience Applications International Corp$BLK
Science Applications International Corp SCHEDULE 13G
Apr 7, 12:39 PM ET11.3 KB - SCHEDULE 13G/ARithm Capital Corp.$BLK
Rithm Capital Corp. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13G/ADave & Buster's Entertainment, Inc.$BLK
Dave & Buster's Entertainment, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13G/AChord Energy Corp$BLK
Chord Energy Corp SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13G/AVita Coco Company, Inc.$BLK
Vita Coco Company, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.4 KB - SCHEDULE 13G/AGRAPHIC PACKAGING HOLDING CO$BLK
GRAPHIC PACKAGING HOLDING CO SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.4 KB - SCHEDULE 13GPRICE T ROWE GROUP INC$BLK
PRICE T ROWE GROUP INC SCHEDULE 13G
Apr 7, 12:39 PM ET11.4 KB - SCHEDULE 13G/ALAUREATE EDUCATION, INC.$BLK
LAUREATE EDUCATION, INC. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13G/AMATRIX SERVICE CO$BLK
MATRIX SERVICE CO SCHEDULE 13G/A
Apr 7, 12:39 PM ET10.9 KB - SCHEDULE 13G/AARTESIAN RESOURCES CORP$BLK
ARTESIAN RESOURCES CORP SCHEDULE 13G/A
Apr 7, 12:39 PM ET10.7 KB - SCHEDULE 13GKEMPER Corp$BLK
KEMPER Corp SCHEDULE 13G
Apr 7, 12:39 PM ET11.0 KB - SCHEDULE 13GCASEYS GENERAL STORES INC$BLK
CASEYS GENERAL STORES INC SCHEDULE 13G
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13G/AVSE CORP$BLK
VSE CORP SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.0 KB - SCHEDULE 13G/AHP INC$BLK
HP INC SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.4 KB - SCHEDULE 13G/ABrightSpring Health Services, Inc.$BLK
BrightSpring Health Services, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13G/AAngi Inc.$BLK
Angi Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13G/ACars.com Inc.$BLK
Cars.com Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13G/AKKR Real Estate Finance Trust Inc.$BLK
KKR Real Estate Finance Trust Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13G/AAH Realty Trust, Inc.$BLK
AH Realty Trust, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13G/ABloomin' Brands, Inc.$BLK
Bloomin' Brands, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.2 KB - SCHEDULE 13G/ASunCoke Energy, Inc.$BLK
SunCoke Energy, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13G/ASummit Hotel Properties, Inc.$BLK
Summit Hotel Properties, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.0 KB - SCHEDULE 13G/AMOLINA HEALTHCARE, INC.$BLK
MOLINA HEALTHCARE, INC. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13GiSHARES TRUST$BLK
iSHARES TRUST SCHEDULE 13G
Apr 7, 12:39 PM ET10.5 KB - SCHEDULE 13G/AiSHARES TRUST$BLK
iSHARES TRUST SCHEDULE 13G/A
Apr 7, 12:39 PM ET10.6 KB - SCHEDULE 13G/ALUXFER HOLDINGS PLC$BLK
LUXFER HOLDINGS PLC SCHEDULE 13G/A
Apr 7, 12:39 PM ET10.8 KB - SCHEDULE 13G/APLUG POWER INC$BLK
PLUG POWER INC SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13G/AMYRIAD GENETICS INC$BLK
MYRIAD GENETICS INC SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB - SCHEDULE 13G/AMatch Group, Inc.$BLK
Match Group, Inc. SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.4 KB - SCHEDULE 13G/AARGAN INC$BLK
ARGAN INC SCHEDULE 13G/A
Apr 7, 12:39 PM ET11.1 KB
Featured Issuers
12AB WATLEY GROUP INC
CIK 0001035632
ADVEST GROUP INC
CIK 0000319489
AFFILIATE STKHLDRS OF MORGAN STANLEY DEAN WITTER DISCOVER&CO
CIK 0000909465
AGF MANAGEMENT LTD
CIK 0001003518
AMERICA FIRST ASSOCIATES CORP
CIK 0001084203
AMERICAN CORPORATE ACCRUALS INC
CIK 0000924641
AMERITRADE ONLINE HOLDINGS CORP
CIK 0001027401
- $ACGP
Associated Capital Group, Inc.
CIK 0001642122
BEAR STEARNS COMPANIES INC
CIK 0000777001
BlackRock Finance, Inc.
CIK 0001364742
- $BLK
BlackRock, Inc.
CIK 0002012383
BROWN ALEX INC
CIK 0000787977
Classification
- SIC Code
- 6211
- Total Issuers
- 184
- Recent Filings
- 40