Security Brokers, Dealers & Flotation Companies
186 tracked issuers filing with the SEC under this industry classification.
Issuers
186
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
- 4Robinhood Markets, Inc.$HOOD
Robinhood Markets, Inc. 4
Jul 10, 6:16 PM ET7.5 KB - 8-KFreedom Holding Corp.$FRHC
Freedom Holding Corp. 8-K
Jul 10, 4:16 PM ET142.0 KB - 8-KFreedom Holding Corp.$FRHC
Freedom Holding Corp. 8-K
Jul 10, 4:10 PM ET152.7 KB - 8-KCohen & Co Inc.$COHN
Cohen & Co Inc. 8-K
Jul 10, 4:05 PM ET215.4 KB - 3Cohen & Co Inc.$COHN
Cohen & Co Inc. 3
Jul 8, 8:11 PM ET10.7 KB - 10-QJefferies Financial Group Inc.$JEF
Jefferies Financial Group Inc. 10-Q
Jul 8, 8:00 PM ET24.3 MB - SCHEDULE 13G/AEaton Vance Ltd Duration Income Fund$MS
Eaton Vance Ltd Duration Income Fund SCHEDULE 13G/A
Jul 8, 6:55 PM ET11.5 KB - SCHEDULE 13G/AMFS CHARTER INCOME TRUST$MS
MFS CHARTER INCOME TRUST SCHEDULE 13G/A
Jul 8, 5:46 PM ET12.3 KB - SCHEDULE 13G/ACervoMed Inc.$MS
CervoMed Inc. SCHEDULE 13G/A
Jul 8, 5:43 PM ET12.5 KB - SCHEDULE 13G/AMFS INVESTMENT GRADE MUNICIPAL TRUST$MS
MFS INVESTMENT GRADE MUNICIPAL TRUST SCHEDULE 13G/A
Jul 8, 5:36 PM ET8.2 KB - 8-KJefferies Financial Group Inc.$JEF
Jefferies Financial Group Inc. 8-K
Jul 8, 5:22 PM ET540.0 KB - 4Robinhood Markets, Inc.$HOOD
Robinhood Markets, Inc. 4
Jul 8, 4:36 PM ET13.3 KB - SCHEDULE 13GASTRONICS CORP$BLK
ASTRONICS CORP SCHEDULE 13G
Jul 8, 11:12 AM ET11.0 KB - SCHEDULE 13G/ASANMINA CORP$BLK
SANMINA CORP SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.3 KB - SCHEDULE 13G/AMONRO, INC.$BLK
MONRO, INC. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.0 KB - SCHEDULE 13G/AGULFPORT ENERGY CORP$BLK
GULFPORT ENERGY CORP SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.2 KB - SCHEDULE 13G/ACrane NXT, Co.$BLK
Crane NXT, Co. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.3 KB - SCHEDULE 13G/ACONAGRA BRANDS INC.$BLK
CONAGRA BRANDS INC. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.4 KB - SCHEDULE 13G/ACoeur Mining, Inc.$BLK
Coeur Mining, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.4 KB - SCHEDULE 13G/ABOSTON BEER CO INC$BLK
BOSTON BEER CO INC SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.1 KB - SCHEDULE 13G/AAutodesk, Inc.$BLK
Autodesk, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.4 KB - SCHEDULE 13G/AUNIVERSAL HEALTH REALTY INCOME TRUST$BLK
UNIVERSAL HEALTH REALTY INCOME TRUST SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.1 KB - SCHEDULE 13G/ASleep Number Corp$BLK
Sleep Number Corp SCHEDULE 13G/A
Jul 8, 11:12 AM ET10.3 KB - SCHEDULE 13G/ANATIONAL HEALTH INVESTORS INC$BLK
NATIONAL HEALTH INVESTORS INC SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.0 KB - SCHEDULE 13G/ADENTSPLY SIRONA Inc.$BLK
DENTSPLY SIRONA Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.4 KB - SCHEDULE 13G/ASelectQuote, Inc.$BLK
SelectQuote, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET10.7 KB - SCHEDULE 13G/ARush Street Interactive, Inc.$BLK
Rush Street Interactive, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.1 KB - SCHEDULE 13G/AGRID DYNAMICS HOLDINGS, INC.$BLK
GRID DYNAMICS HOLDINGS, INC. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.2 KB - SCHEDULE 13G/AASHLAND INC.$BLK
ASHLAND INC. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.2 KB - SCHEDULE 13G/AJELD-WEN Holding, Inc.$BLK
JELD-WEN Holding, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET10.8 KB - SCHEDULE 13G/AMACOM Technology Solutions Holdings, Inc.$BLK
MACOM Technology Solutions Holdings, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.3 KB - SCHEDULE 13G/AFATE THERAPEUTICS INC$BLK
FATE THERAPEUTICS INC SCHEDULE 13G/A
Jul 8, 11:12 AM ET10.8 KB - SCHEDULE 13G/AUnder Armour, Inc.$BLK
Under Armour, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.1 KB - SCHEDULE 13G/ANICOLET BANKSHARES INC$BLK
NICOLET BANKSHARES INC SCHEDULE 13G/A
Jul 8, 11:12 AM ET10.9 KB - SCHEDULE 13G/AEXELON CORP$BLK
EXELON CORP SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.6 KB - SCHEDULE 13G/AEmbecta Corp.$BLK
Embecta Corp. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.2 KB - SCHEDULE 13G/ALiquidia Corp$BLK
Liquidia Corp SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.1 KB - SCHEDULE 13G/ANETSTREIT Corp.$BLK
NETSTREIT Corp. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.2 KB - SCHEDULE 13G/AVital Farms, Inc.$BLK
Vital Farms, Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.0 KB - SCHEDULE 13G/AWarby Parker Inc.$BLK
Warby Parker Inc. SCHEDULE 13G/A
Jul 8, 11:12 AM ET11.1 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
BROWN ALEX INC
CIK 0000787977
BlackRock Finance, Inc.
CIK 0001364742
- $BLK
BlackRock, Inc.
CIK 0002012383
Classification
- SIC Code
- 6211
- Total Issuers
- 186
- Recent Filings
- 40