Industry · SIC 6211
Security Brokers, Dealers & Flotation Companies
186 tracked issuers filing with the SEC under this industry classification.
Issuers
186
Recent 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 SEC filings and updates directly on Earnings Feed.
Source: Earnings Feed research · Nov 23, 2025
Latest filings
- 4HOODRobinhood Markets, Inc.7.5 KBSEC(opens sec.gov)
- 10-QJEFSEC(opens sec.gov)
- 6-KBULLWebull Corp37.6 KBSEC(opens sec.gov)
- SCHEDULE 13G/ANAVINAVIENT CORP8.8 KBSEC(opens sec.gov)
- 4HOODRobinhood Markets, Inc.7.5 KBSEC(opens sec.gov)
- SCHEDULE 13G/AWTWisdomTree, Inc.11.9 KBSEC(opens sec.gov)
- 144BULLWebull Corp7.6 KBSEC(opens sec.gov)
- 3GLXYGalaxy Digital Inc.21.2 KBSEC(opens sec.gov)
- 144HOODRobinhood Markets, Inc.8.4 KBSEC(opens sec.gov)
- SCHEDULE 13G/ABULLWebull Corp10.2 KBSEC(opens sec.gov)
- 144MIAXSEC(opens sec.gov)
- 6-KAXGSolowin Holdings, Ltd.744.5 KBSEC(opens sec.gov)
- SCHEDULE 13G/ADOMHDominari Holdings Inc.6.8 KBSEC(opens sec.gov)
- 6-KBULLWebull Corp5.3 MBSEC(opens sec.gov)
- 6-KCSHRCoinShares PLC55.2 KBSEC(opens sec.gov)
- SCHEDULE 13GCSHRCoinShares PLC7.9 KBSEC(opens sec.gov)
- 6-KLGHLLion Group Holding Ltd20.3 KBSEC(opens sec.gov)
- 8-KMKTXMARKETAXESS HOLDINGS INC155.2 KBSEC(opens sec.gov)
- 144SEICSEI INVESTMENTS CO6.2 KBSEC(opens sec.gov)
- 6-KLGHLLion Group Holding Ltd263.9 KBSEC(opens sec.gov)
- 8-KJEFJefferies Financial Group Inc.673.6 KBSEC(opens sec.gov)
- 8-KSIEBSIEBERT FINANCIAL CORP191.9 KBSEC(opens sec.gov)
- 8-KNAVINAVIENT CORP227.7 KBSEC(opens sec.gov)
- 8-KSFSTIFEL FINANCIAL CORP282.4 KBSEC(opens sec.gov)
- 6-KLGHLLion Group Holding Ltd22.8 KBSEC(opens sec.gov)
- 8-KRJFRAYMOND JAMES FINANCIAL INC504.6 KBSEC(opens sec.gov)
- 8-KGLXYGalaxy Digital Inc.139.4 KBSEC(opens sec.gov)
- 144SEICSEI INVESTMENTS CO4.3 KBSEC(opens sec.gov)
- 144HOODRobinhood Markets, Inc.7.7 KBSEC(opens sec.gov)
- 8-KPIPRPIPER SANDLER COMPANIES194.6 KBSEC(opens sec.gov)
- 144HOODRobinhood Markets, Inc.7.0 KBSEC(opens sec.gov)
- 6-KAXGSolowin Holdings, Ltd.143.9 KBSEC(opens sec.gov)
- 6-KLGHLLion Group Holding Ltd20.8 KBSEC(opens sec.gov)
- SCHEDULE 13D/AFRHCFreedom Holding Corp.7.7 KBSEC(opens sec.gov)
- 144XPXP Inc.4.8 KBSEC(opens sec.gov)
- 4MSMORGAN STANLEY6.0 KBSEC(opens sec.gov)
- 8-KFRHCFreedom Holding Corp.154.6 KBSEC(opens sec.gov)
- 8-KDOMHDominari Holdings Inc.200.4 KBSEC(opens sec.gov)
- 6-KNMRNOMURA HOLDINGS INC38.5 KBSEC(opens sec.gov)
- 144MIAXSEC(opens sec.gov)
Featured issuers
- AB WATLEY GROUP INCCIK 0001035632
- ADVEST GROUP INCCIK 0000319489
- AFFILIATE STKHLDRS OF MORGAN STANLEY DEAN WITTER DISCOVER&COCIK 0000909465
- AGF MANAGEMENT LTDCIK 0001003518
- AMERICA FIRST ASSOCIATES CORPCIK 0001084203
- AMERICAN CORPORATE ACCRUALS INCCIK 0000924641
- AMERITRADE ONLINE HOLDINGS CORPCIK 0001027401
- Associated Capital Group, Inc.CIK 0001642122ACGP
- BEAR STEARNS COMPANIES INCCIK 0000777001
- BlackRock Finance, Inc.CIK 0001364742
- BlackRock, Inc.CIK 0002012383BLK
- BROWN ALEX INCCIK 0000787977
Classification
- SIC code
- 6211
- Total issuers
- 186
- Recent filings
- 40