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
- 8-KBlackRock, Inc.$BLK
BlackRock, Inc. 8-K
Apr 3, 4:05 PM ET1.5 MB - 6-KFutu Holdings Ltd$FUTU
Futu Holdings Ltd 6-K
Apr 2, 6:10 AM ET17.5 KB - 6-KNOMURA HOLDINGS INC$NMR
NOMURA HOLDINGS INC 6-K
Apr 1, 6:01 AM ET76.3 KB - 8-KJefferies Financial Group Inc.$JEF
Jefferies Financial Group Inc. 8-K
Mar 31, 4:33 PM ET1.1 MB - 10-K/AInteractive Brokers Group, Inc.$IBKR
Interactive Brokers Group, Inc. 10-K/A
Mar 31, 4:11 PM ET2.8 MB - 8-KDominari Holdings Inc.$DOMH
Dominari Holdings Inc. 8-K
Mar 31, 9:20 AM ET298.3 KB - 10-KDominari Holdings Inc.$DOMH
Dominari Holdings Inc. 10-K
Mar 31, 8:12 AM ET9.3 MB - 10-KSIEBERT FINANCIAL CORP$SIEB
SIEBERT FINANCIAL CORP 10-K
Mar 30, 5:39 PM ET10.8 MB - 8-KWisdomTree, Inc.$WT
WisdomTree, Inc. 8-K
Mar 30, 5:31 PM ET1.2 MB - 8-KVine Hill Capital Investment Corp.$VCIC
Vine Hill Capital Investment Corp. 8-K
Mar 30, 7:30 AM ET338.5 KB - 10-KVine Hill Capital Investment Corp.$VCIC
Vine Hill Capital Investment Corp. 10-K
Mar 27, 4:54 PM ET5.6 MB - 8-KMIAMI INTERNATIONAL HOLDINGS, INC.$MIAX
MIAMI INTERNATIONAL HOLDINGS, INC. 8-K
Mar 26, 4:44 PM ET143.0 KB - 8-KSTIFEL FINANCIAL CORP$SF
STIFEL FINANCIAL CORP 8-K
Mar 26, 4:15 PM ET285.1 KB - 13F-HR/AGOLDMAN SACHS GROUP INC$GS
GOLDMAN SACHS GROUP INC 13F-HR/A
Mar 25, 5:07 PM ET7.5 MB - 8-KJefferies Financial Group Inc.$JEF
Jefferies Financial Group Inc. 8-K
Mar 25, 4:18 PM ET536.3 KB - 8-KRAYMOND JAMES FINANCIAL INC$RJF
RAYMOND JAMES FINANCIAL INC 8-K
Mar 25, 4:17 PM ET503.1 KB - 8-K/ARobinhood Markets, Inc.$HOOD
Robinhood Markets, Inc. 8-K/A
Mar 24, 4:16 PM ET151.2 KB - 8-KRobinhood Markets, Inc.$HOOD
Robinhood Markets, Inc. 8-K
Mar 24, 4:06 PM ET1.8 MB - 8-KWisdomTree, Inc.$WT
WisdomTree, Inc. 8-K
Mar 24, 7:15 AM ET245.5 KB - 8-KPIPER SANDLER COMPANIES$PIPR
PIPER SANDLER COMPANIES 8-K
Mar 23, 4:30 PM ET209.7 KB - 8-KDominari Holdings Inc.$DOMH
Dominari Holdings Inc. 8-K
Mar 23, 4:30 PM ET224.5 KB - 8-KWisdomTree, Inc.$WT
WisdomTree, Inc. 8-K
Mar 23, 4:15 PM ET234.4 KB - 8-KVine Hill Capital Investment Corp.$VCIC
Vine Hill Capital Investment Corp. 8-K
Mar 19, 6:40 AM ET64.7 KB - 6-KUP Fintech Holding Ltd$TIGR
UP Fintech Holding Ltd 6-K
Mar 19, 6:01 AM ET796.9 KB - 6-KNOMURA HOLDINGS INC$NMR
NOMURA HOLDINGS INC 6-K
Mar 19, 6:00 AM ET38.5 KB - 8-KWisdomTree, Inc.$WT
WisdomTree, Inc. 8-K
Mar 16, 8:00 AM ET1.0 MB - 10-KJONES FINANCIAL COMPANIES LLLP
JONES FINANCIAL COMPANIES LLLP 10-K
Mar 13, 2:06 PM ET18.6 MB - 8-KGOLDMAN SACHS GROUP INC$GS
GOLDMAN SACHS GROUP INC 8-K
Mar 13, 11:00 AM ET247.8 KB - SCHEDULE 13G/ANATIONAL HEALTHCARE CORP$MS
NATIONAL HEALTHCARE CORP SCHEDULE 13G/A
Mar 12, 5:09 PM ET12.0 KB - 6-KFutu Holdings Ltd$FUTU
Futu Holdings Ltd 6-K
Mar 12, 6:02 AM ET275.2 KB - 6-KNOMURA HOLDINGS INC$NMR
NOMURA HOLDINGS INC 6-K
Mar 12, 6:01 AM ET50.6 KB - 8-KJefferies Financial Group Inc.$JEF
Jefferies Financial Group Inc. 8-K
Mar 9, 6:52 AM ET258.1 KB - SCHEDULE 13G/APeakstone Realty Trust$MS
Peakstone Realty Trust SCHEDULE 13G/A
Mar 6, 4:29 PM ET12.4 KB - SCHEDULE 13G/AOddity Tech Ltd$MS
Oddity Tech Ltd SCHEDULE 13G/A
Mar 6, 4:27 PM ET11.9 KB - SCHEDULE 13G/ATGE Value Creative Solutions Corp$MS
TGE Value Creative Solutions Corp SCHEDULE 13G/A
Mar 6, 4:27 PM ET12.3 KB - SCHEDULE 13G/ABLACKROCK MUNIHOLDINGS QUALITY FUND II, INC.$MS
BLACKROCK MUNIHOLDINGS QUALITY FUND II, INC. SCHEDULE 13G/A
Mar 6, 4:24 PM ET12.4 KB - SCHEDULE 13G/AX4 Pharmaceuticals, Inc$MS
X4 Pharmaceuticals, Inc SCHEDULE 13G/A
Mar 6, 4:24 PM ET13.7 KB - SCHEDULE 13G/ABLACKROCK MUNICIPAL INCOME QUALITY TRUST$MS
BLACKROCK MUNICIPAL INCOME QUALITY TRUST SCHEDULE 13G/A
Mar 6, 4:17 PM ET12.4 KB - SCHEDULE 13GTGE Value Creative Solutions Corp$MS
TGE Value Creative Solutions Corp SCHEDULE 13G
Mar 6, 4:16 PM ET11.9 KB - SCHEDULE 13G/AKlaviyo, Inc.$MS
Klaviyo, Inc. SCHEDULE 13G/A
Mar 6, 4:15 PM ET8.0 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
- 184
- Recent Filings
- 40