Security Brokers, Dealers & Flotation Companies
182 tracked issuers filing with the SEC under this industry classification.
Issuers
182
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 EarningsFeed.
Source: Earnings Feed research · Nov 23
Latest Filings
- 8-KBlackRock, Inc.$BLK
BlackRock, Inc. 8-K
Jan 27, 4:29 PM ET180.8 KB - SCHEDULE 13G/AGOLDEN ENTERTAINMENT, INC.$BLK
GOLDEN ENTERTAINMENT, INC. SCHEDULE 13G/A
Jan 27, 12:28 PM ET11.3 KB - 8-KMARKETAXESS HOLDINGS INC$MKTX
MARKETAXESS HOLDINGS INC 8-K
Jan 26, 6:30 AM ET220.3 KB - 8-KGOLDMAN SACHS GROUP INC$GS
GOLDMAN SACHS GROUP INC 8-K
Jan 23, 3:00 PM ET273.0 KB - SCHEDULE 13G/ACOGENT COMMUNICATIONS HOLDINGS, INC.$BLK
COGENT COMMUNICATIONS HOLDINGS, INC. SCHEDULE 13G/A
Jan 23, 10:57 AM ET11.2 KB - SCHEDULE 13G/AGRACO INC$BLK
GRACO INC SCHEDULE 13G/A
Jan 21, 7:46 PM ET11.3 KB - SCHEDULE 13G/AHAWKINS INC$BLK
HAWKINS INC SCHEDULE 13G/A
Jan 21, 7:37 PM ET11.0 KB - SCHEDULE 13G/AJBT Marel Corp$BLK
JBT Marel Corp SCHEDULE 13G/A
Jan 21, 7:28 PM ET11.2 KB - SCHEDULE 13G/ASEMTECH CORP$BLK
SEMTECH CORP SCHEDULE 13G/A
Jan 21, 7:17 PM ET11.0 KB - SCHEDULE 13G/AIonQ, Inc.$BLK
IonQ, Inc. SCHEDULE 13G/A
Jan 21, 5:11 PM ET11.4 KB - SCHEDULE 13G/AEMBRAER S.A.$BLK
EMBRAER S.A. SCHEDULE 13G/A
Jan 21, 5:02 PM ET11.7 KB - SCHEDULE 13G/ABORGWARNER INC$BLK
BORGWARNER INC SCHEDULE 13G/A
Jan 21, 4:53 PM ET11.2 KB - SCHEDULE 13GBRAZILIAN ELECTRIC POWER CO$BLK
BRAZILIAN ELECTRIC POWER CO SCHEDULE 13G
Jan 21, 4:43 PM ET11.6 KB - SCHEDULE 13G/AKINROSS GOLD CORP$BLK
KINROSS GOLD CORP SCHEDULE 13G/A
Jan 21, 4:32 PM ET11.5 KB - 8-KGOLDMAN SACHS GROUP INC$GS
GOLDMAN SACHS GROUP INC 8-K
Jan 21, 4:28 PM ET250.5 KB - 8-KSCHWAB CHARLES CORP$SCHW
SCHWAB CHARLES CORP 8-K
Jan 21, 4:16 PM ET1.4 MB - 8-KMIAMI INTERNATIONAL HOLDINGS, INC.$MIAX
MIAMI INTERNATIONAL HOLDINGS, INC. 8-K
Jan 21, 4:07 PM ET628.5 KB - SCHEDULE 13G/AGates Industrial Corp plc$BLK
Gates Industrial Corp plc SCHEDULE 13G/A
Jan 21, 4:05 PM ET11.1 KB - SCHEDULE 13G/ACogent Biosciences, Inc.$BLK
Cogent Biosciences, Inc. SCHEDULE 13G/A
Jan 21, 3:47 PM ET11.4 KB - SCHEDULE 13G/ACAMDEN PROPERTY TRUST$BLK
CAMDEN PROPERTY TRUST SCHEDULE 13G/A
Jan 21, 3:39 PM ET11.4 KB - SCHEDULE 13GRICHTECH ROBOTICS INC.$BLK
RICHTECH ROBOTICS INC. SCHEDULE 13G
Jan 21, 12:30 PM ET10.7 KB - SCHEDULE 13GUL Solutions Inc.$BLK
UL Solutions Inc. SCHEDULE 13G
Jan 21, 12:30 PM ET11.0 KB - SCHEDULE 13G/ASpire Global, Inc.$BLK
Spire Global, Inc. SCHEDULE 13G/A
Jan 21, 12:30 PM ET10.9 KB - SCHEDULE 13GSana Biotechnology, Inc.$BLK
Sana Biotechnology, Inc. SCHEDULE 13G
Jan 21, 12:30 PM ET10.8 KB - SCHEDULE 13GToast, Inc.$BLK
Toast, Inc. SCHEDULE 13G
Jan 21, 12:30 PM ET11.0 KB - SCHEDULE 13G/ACommunity Healthcare Trust Inc$BLK
Community Healthcare Trust Inc SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.0 KB - SCHEDULE 13G/AOwens Corning$BLK
Owens Corning SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.1 KB - SCHEDULE 13G/AUnder Armour, Inc.$BLK
Under Armour, Inc. SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.0 KB - SCHEDULE 13GSavara Inc$BLK
Savara Inc SCHEDULE 13G
Jan 21, 12:30 PM ET11.1 KB - SCHEDULE 13G/ATAPESTRY, INC.$BLK
TAPESTRY, INC. SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.2 KB - SCHEDULE 13GPEOPLES BANCORP OF NORTH CAROLINA INC$BLK
PEOPLES BANCORP OF NORTH CAROLINA INC SCHEDULE 13G
Jan 21, 12:30 PM ET10.7 KB - SCHEDULE 13GOruka Therapeutics, Inc.$BLK
Oruka Therapeutics, Inc. SCHEDULE 13G
Jan 21, 12:30 PM ET11.1 KB - SCHEDULE 13G/ASHOE CARNIVAL INC$BLK
SHOE CARNIVAL INC SCHEDULE 13G/A
Jan 21, 12:30 PM ET10.9 KB - SCHEDULE 13G/ASTERLING INFRASTRUCTURE, INC.$BLK
STERLING INFRASTRUCTURE, INC. SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.5 KB - SCHEDULE 13G/ASarepta Therapeutics, Inc.$BLK
Sarepta Therapeutics, Inc. SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.2 KB - SCHEDULE 13GKORU Medical Systems, Inc.$BLK
KORU Medical Systems, Inc. SCHEDULE 13G
Jan 21, 12:30 PM ET10.8 KB - SCHEDULE 13G/AWABASH NATIONAL Corp$BLK
WABASH NATIONAL Corp SCHEDULE 13G/A
Jan 21, 12:30 PM ET10.9 KB - SCHEDULE 13G/ATORO CO$BLK
TORO CO SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.1 KB - SCHEDULE 13G/ASTEWART INFORMATION SERVICES CORP$BLK
STEWART INFORMATION SERVICES CORP SCHEDULE 13G/A
Jan 21, 12:30 PM ET10.9 KB - SCHEDULE 13G/ARAMBUS INC$BLK
RAMBUS INC SCHEDULE 13G/A
Jan 21, 12:30 PM ET11.0 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
- 182
- Recent Filings
- 40