Security Brokers, Dealers & Flotation Companies
182 tracked issuers filing with the SEC under this industry classification.
Issuers
182
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 EarningsFeed.
Source: Earnings Feed research · 11/23/2025
Latest Filings
- 6-KSolowin Holdings, Ltd.$AXG
Solowin Holdings, Ltd. 6-K
Jan 9, 4:41 PM ET10.8 MB - 8-KNAVIENT CORP$NAVI
NAVIENT CORP 8-K
Jan 8, 4:32 PM ET230.1 KB - SCHEDULE 13G/AKlaviyo, Inc.$MS
Klaviyo, Inc. SCHEDULE 13G/A
Jan 8, 4:22 PM ET7.8 KB - SCHEDULE 13G/ACanada Goose Holdings Inc.$MS
Canada Goose Holdings Inc. SCHEDULE 13G/A
Jan 8, 4:20 PM ET14.7 KB - 8-KGOLDMAN SACHS GROUP INC$GS
GOLDMAN SACHS GROUP INC 8-K
Jan 8, 4:15 PM ET3.5 MB - SCHEDULE 13G/APLIANT THERAPEUTICS, INC.$MS
PLIANT THERAPEUTICS, INC. SCHEDULE 13G/A
Jan 8, 4:03 PM ET8.1 KB - SCHEDULE 13G/AMadison Square Garden Sports Corp.$BLK
Madison Square Garden Sports Corp. SCHEDULE 13G/A
Jan 8, 2:43 PM ET11.4 KB - SCHEDULE 13GCentral North Airport Group$BLK
Central North Airport Group SCHEDULE 13G
Jan 8, 2:27 PM ET11.4 KB - SCHEDULE 13GPacific Airport Group$BLK
Pacific Airport Group SCHEDULE 13G
Jan 8, 2:06 PM ET11.7 KB - SCHEDULE 13GSolstice Advanced Materials Inc.$BLK
Solstice Advanced Materials Inc. SCHEDULE 13G
Jan 8, 1:53 PM ET11.2 KB - SCHEDULE 13G/AArcus Biosciences, Inc.$BLK
Arcus Biosciences, Inc. SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.0 KB - SCHEDULE 13G/AAdvanSix Inc.$BLK
AdvanSix Inc. SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.0 KB - SCHEDULE 13G/AVital Farms, Inc.$BLK
Vital Farms, Inc. SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.0 KB - SCHEDULE 13G/AThryv Holdings, Inc.$BLK
Thryv Holdings, Inc. SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.0 KB - SCHEDULE 13G/AReady Capital Corp$BLK
Ready Capital Corp SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.3 KB - SCHEDULE 13G/AMARRIOTT VACATIONS WORLDWIDE Corp$BLK
MARRIOTT VACATIONS WORLDWIDE Corp SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.1 KB - SCHEDULE 13G/APINTEREST, INC.$BLK
PINTEREST, INC. SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.4 KB - SCHEDULE 13G/ABooz Allen Hamilton Holding Corp$BLK
Booz Allen Hamilton Holding Corp SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.4 KB - SCHEDULE 13G/AIridium Communications Inc.$BLK
Iridium Communications Inc. SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.1 KB - SCHEDULE 13G/APrimoris Services Corp$BLK
Primoris Services Corp SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.2 KB - SCHEDULE 13G/AUnder Armour, Inc.$BLK
Under Armour, Inc. SCHEDULE 13G/A
Jan 8, 1:28 PM ET10.9 KB - SCHEDULE 13G/AMONOLITHIC POWER SYSTEMS INC$BLK
MONOLITHIC POWER SYSTEMS INC SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.3 KB - SCHEDULE 13G/ACEVA INC$BLK
CEVA INC SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.2 KB - SCHEDULE 13G/ALKQ CORP$BLK
LKQ CORP SCHEDULE 13G/A
Jan 8, 1:28 PM ET10.9 KB - SCHEDULE 13G/ACASELLA WASTE SYSTEMS INC$BLK
CASELLA WASTE SYSTEMS INC SCHEDULE 13G/A
Jan 8, 1:28 PM ET10.8 KB - SCHEDULE 13G/ASITE Centers Corp.$BLK
SITE Centers Corp. SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.0 KB - SCHEDULE 13G/AFIRST INTERSTATE BANCSYSTEM INC$BLK
FIRST INTERSTATE BANCSYSTEM INC SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.0 KB - SCHEDULE 13G/AMGP INGREDIENTS INC$BLK
MGP INGREDIENTS INC SCHEDULE 13G/A
Jan 8, 1:28 PM ET11.0 KB - SCHEDULE 13G/AHAWAIIAN ELECTRIC INDUSTRIES INC$BLK
HAWAIIAN ELECTRIC INDUSTRIES INC SCHEDULE 13G/A
Jan 8, 1:28 PM ET10.9 KB - SCHEDULE 13G/ASTURM RUGER & CO INC$BLK
STURM RUGER & CO INC SCHEDULE 13G/A
Jan 8, 1:28 PM ET10.9 KB - SCHEDULE 13G/AINDIVIOR PLC$BLK
INDIVIOR PLC SCHEDULE 13G/A
Jan 8, 1:25 PM ET10.9 KB - SCHEDULE 13G/APERRIGO Co plc$BLK
PERRIGO Co plc SCHEDULE 13G/A
Jan 8, 1:25 PM ET11.0 KB - SCHEDULE 13G/AHELEN OF TROY LTD$BLK
HELEN OF TROY LTD SCHEDULE 13G/A
Jan 8, 1:25 PM ET10.8 KB - 8-KJefferies Financial Group Inc.$JEF
Jefferies Financial Group Inc. 8-K
Jan 7, 4:36 PM ET2.9 MB - 8-KJefferies Financial Group Inc.$JEF
Jefferies Financial Group Inc. 8-K
Jan 7, 4:17 PM ET676.7 KB - 8-KJONES FINANCIAL COMPANIES LLLP
JONES FINANCIAL COMPANIES LLLP 8-K
Jan 7, 11:43 AM ET145.7 KB - 6-KSolowin Holdings, Ltd.$AXG
Solowin Holdings, Ltd. 6-K
Dec 31, 4:40 PM ET182.7 KB - 6-KNOMURA HOLDINGS INC$NMR
NOMURA HOLDINGS INC 6-K
Dec 29, 6:06 AM ET32.5 KB - 6-KSolowin Holdings, Ltd.$AXG
Solowin Holdings, Ltd. 6-K
Dec 22, 4:39 PM ET11.1 KB - 8-KCohen & Co Inc.$COHN
Cohen & Co Inc. 8-K
Dec 22, 8:24 AM ET250.8 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
BlackRock Finance, Inc.
CIK 0001364742
- $BLK
BlackRock, Inc.
CIK 0002012383
BROWN ALEX INC
CIK 0000787977
Classification
- SIC Code
- 6211
- Total Issuers
- 182
- Recent Filings
- 40