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Company Information About Active Broker-Dealers

March 2007 - July 2023

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
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 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

Associated Data Distribution Table

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