Breadcrumb

Broker-Dealers

Company Information About Active Broker-Dealers

March 2007 - October 2024

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.

Field Name Maximum Size
CIK NUMBER 10 characters
COMPANY NAME 60 characters
REPORTING FILE NUMBER   25 characters
ADDRESS1 40 characters
ADDRESS2 40 characters
CITY 30 characters
STATE CODE 2 characters
ZIP CODE 10 characters

What You Should Know About the Data Itself

To get a copy of the actual Forms BD filed with the SEC, please refer to How to Request Public Documents.

For technical questions regarding the website, send an e-mail message to webmaster@sec.gov. For additional information about the data, call the SEC's Office of Freedom of Information and Privacy Act Operations at (202) 551-8300.

Data Downloads

File Format Size
October 2024 TXT 649.31 KB
September 2024 TXT 649.56 KB
August 2024 TXT 652.27 KB
July 2024 TXT 654 KB
June 2024 TXT 655.55 KB
May 2024 TXT 655.45 KB
April 2024 TXT 656.71 KB
March 2024 TXT 656.92 KB
February 2024 TXT 662.11 KB
January 2024 TXT 665.67 KB
December 2023 TXT 668.84 KB
November 2023 TXT 669.01 KB
October 2023 TXT 671.59 KB
September 2023 TXT 674.08 KB
August 2023 TXT 675.23 KB
July 2023 TXT 674.48 KB
June 2023 TXT 674.48 KB
May 2023 TXT 676.92 KB
April 2023 TXT 673.87 KB
March 2023 TXT 674.89 KB
February 2023 TXT 677.61 KB
January 2023 TXT 680.8 KB
December 2022 TXT 680.56 KB
November 2022 TXT 680.06 KB
October 2022 TXT 673.75 KB
September 2022 TXT 674.36 KB
August 2022 TXT 674.12 KB
July 2022 TXT 672.88 KB
June 2022 TXT 337.41 KB
May 2022 TXT 337.53 KB
April 2022 TXT 337.55 KB
March 2022 TXT 338.54 KB
February 2022 TXT 341.12 KB
January 2022 TXT 342.11 KB
December 2021 TXT 342.94 KB
November 2021 TXT 344 KB
October 2021 TXT 344 KB
September 2021 TXT 344.22 KB
August 2021 TXT 344.78 KB
July 2021 TXT 344.92 KB
June 2021 TXT 343.85 KB
May 2021 TXT 343.97 KB
April 2021 TXT 345.58 KB
March 2021 TXT 346.44 KB
February 2021 TXT 348.34 KB
January 2021 TXT 349.43 KB
December 2020 TXT 350.23 KB
November 2020 TXT 350.51 KB
October 2020 TXT 351.38 KB
September 2020 TXT 352.06 KB
August 2020 TXT 351.75 KB
July 2020 TXT 353.46 KB
June 2020 TXT 354.27 KB
May 2020 TXT 354.7 KB
April 2020 TXT 355.22 KB
March 2020 TXT 356.06 KB
February 2020 TXT 359.7 KB
January 2020 TXT 360.82 KB
December 2019 TXT 362.34 KB
November 2019 TXT 363.4 KB
October 2019 TXT 363.13 KB
September 2019 TXT 362.9 KB
August 2019 TXT 363.47 KB
July 2019 TXT 363.71 KB
June 2019 TXT 359.84 KB
May 2019 TXT 359.63 KB
April 2019 TXT 361.17 KB
March 2019 TXT 361.7 KB
February 2019 TXT 364.09 KB
January 2019 TXT 365.36 KB
December 2018 TXT 366.61 KB
November 2018 TXT 367.02 KB
October 2018 TXT 367.87 KB
September 2018 TXT 368.78 KB
August 2018 TXT 369.6 KB
July 2018 TXT 369.99 KB
June 2018 TXT 370.83 KB
May 2018 TXT 371.27 KB
April 2018 TXT 371.73 KB
March 2018 TXT 372.37 KB
February 2018 TXT 374.16 KB
January 2018 TXT 375.29 KB
December 2017 TXT 376.7 KB
November 2017 TXT 378.33 KB
October 2017 TXT 379.11 KB
September 2017 TXT 384.77 KB
August 2017 TXT 385.79 KB
July 2017 TXT 385.87 KB
June 2017 TXT 385.99 KB
May 2017 TXT 386.98 KB
April 2017 TXT 379.74 KB
March 2017 TXT 379.46 KB
February 2017 TXT 382.58 KB
January 2017 TXT 384.72 KB
December 2016 TXT 386.75 KB
November 2016 TXT 387.48 KB
October 2016 TXT 389.88 KB
September 2016 TXT 390.54 KB
August 2016 TXT 391.72 KB
July 2016 TXT 392.43 KB
June 2016 TXT 393.18 KB
May 2016 TXT 393.19 KB
April 2016 TXT 392.83 KB
March 2016 TXT 393.22 KB
February 2016 TXT 395.89 KB
January 2016 TXT 397.76 KB
December 2015 TXT 399.65 KB
November 2015 TXT 400.17 KB
October 2015 TXT 400.9 KB
September 2015 TXT 402.08 KB
August 2015 TXT 402.79 KB
July 2015 TXT 403.35 KB
June 2015 TXT 404.03 KB
May 2015 TXT 405.1 KB
April 2015 TXT 406.06 KB
March 2015 TXT 406.47 KB
February 2015 TXT 408.67 KB
January 2015 TXT 410.25 KB
December 2014 TXT 410.25 KB
November 2014 TXT 412.14 KB
October 2014 TXT 412.41 KB
September 2014 TXT 414.32 KB
August 2014 TXT 415.11 KB
July 2014 TXT 410.6 KB
June 2014 TXT 412.02 KB
May 2014 TXT 413.3 KB
April 2014 TXT 414.51 KB
March 2014 TXT 415.61 KB
February 2014 TXT 418.25 KB
January 2014 TXT 420.32 KB
December 2013 TXT 422.03 KB
November 2013 TXT 424.73 KB
October 2013 TXT 426.54 KB
September 2013 TXT 426.85 KB
August 2013 TXT 427.93 KB
July 2013 TXT 429.24 KB
June 2013 TXT 429.23 KB
May 2013 TXT 431.85 KB
April 2013 TXT 433.05 KB
March 2013 TXT 434.27 KB
February 2013 TXT 437.02 KB
January 2013 TXT 438.61 KB
December 2012 TXT 440.44 KB
November 2012 TXT 442.06 KB
October 2012 TXT 443.14 KB
September 2012 TXT 444.28 KB
August 2012 TXT 445.18 KB
July 2012 TXT 447.61 KB
June 2012 TXT 448.21 KB
May 2012 TXT 450.89 KB
April 2012 TXT 452.07 KB
March 2012 TXT 452.31 KB
February 2012 TXT 454.58 KB
January 2012 TXT 456.54 KB
December 2011 TXT 457.35 KB
November 2011 TXT 458.87 KB
October 2011 TXT 460.11 KB
September 2011 TXT 461.58 KB
August 2011 TXT 463.51 KB
July 2011 TXT 464.01 KB
June 2011 TXT 465.67 KB
May 2011 TXT 466.21 KB
April 2011 TXT 469.35 KB
March 2011 TXT 470.54 KB
February 2011 TXT 475.56 KB
January 2011 TXT 477.92 KB
December 2010 TXT 479.48 KB
November 2010 TXT 479.1 KB
October 2010 TXT 479.24 KB
September 2010 TXT 481.08 KB
August 2010 TXT 483.05 KB
July 2010 TXT 484.16 KB
June 2010 TXT 486.01 KB
May 2010 TXT 486.32 KB
April 2010 TXT 486.99 KB
March 2010 TXT 489.22 KB
February 2010 TXT 495.15 KB
January 2010 TXT 497.48 KB
December 2009 TXT 498.55 KB
November 2009 TXT 500.3 KB
October 2009 TXT 499.32 KB
September 2009 TXT 501.61 KB
August 2009 TXT 502.28 KB
July 2009 TXT 502.89 KB
June 2009 TXT 504.72 KB
May 2009 TXT 509 KB
April 2009 TXT 510.38 KB
March 2009 TXT 513.17 KB
February 2009 TXT 518.9 KB
January 2009 TXT 521.09 KB
December 2008 TXT 523.26 KB
November 2008 TXT 522.84 KB
October 2008 TXT 526.18 KB
September 2008 TXT 526.62 KB
August 2008 TXT 526.91 KB
July 2008 TXT 527.69 KB
June 2008 TXT 527.04 KB
April 2008 TXT 529.37 KB
March 2008 TXT 530.06 KB
February 2008 TXT 537.93 KB
January 2008 TXT 540.69 KB
December 2007 TXT 542.66 KB
November 2007 TXT 545.66 KB
October 2007 TXT 547.09 KB
September 2007 TXT 547.31 KB
August 2007 TXT 551.29 KB
June 2007 TXT 550.99 KB
March 2007 TXT 555.18 KB

Last Reviewed or Updated: Oct. 1, 2024