FINRA and SEC broker-dealers

Securities brokerage in this index starts from the SEC active broker-dealer file, then a FINRA public directory pass.

Offline index 303,303 registry rows · 285,691 firm pages · updated 2026-09-22

Sources

SEC Company Information About Active Broker-Dealers: 3,273 rows. FINRA BrokerCheck’s query API was blocked, so the HTML directory of firms FINRA says it regulates was used. That pass added 153 FINRA-only names. CRD numbers are kept when the file has them.

Investment advisers are a different file. See the IAPD guide.

What to check

Confirm the firm name and CRD or SEC file number on FINRA BrokerCheck or EDGAR before you open an account. A directory row is not a statement that the firm may solicit you in your state.

IAPD advisers

Questions this page answers

Are all securities firms FINRA members?

The SEC file is broader than the small FINRA-only add. Read the source badge on the firm.

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Source badges

A listing is an index record. It is not a license confirmation, a rating, or an endorsement by the regulator or by BrokerMafia.