Investment Firms Authorised in United States

Every entry we hold for United States, across 3 registers — what each firm is authorised as, when, and which authorisations have since been withdrawn.

These are different registers and they do not certify the same thing. Every entry below names the register it came from. What that register is a record of:

U.S. Securities and Exchange Commission — Information about Registered Investment Advisers (Form ADV data) — SEC-registered investment advisers — NOT broker-dealers, NOT state-registered advisers, NOT exempt reporting advisers.
U.S. Commodity Futures Trading Commission — Financial Data for Futures Commission Merchants — CFTC-registered futures commission merchants and retail foreign exchange dealers.
Financial Crimes Enforcement Network (FinCEN) — MSB Registrant Search — FinCEN MSB self-registration — AML only, NOT a licence.

A permission granted under one regime says nothing about any other, and no entry here is evidence about a firm’s standing in a jurisdiction whose register we do not hold. If the firm you are checking offered you crypto, start with the guided check.

An authorisation is not an endorsement. SEC registration means a firm has filed Form ADV and is registered as an investment adviser. The SEC does not approve, recommend or vouch for any adviser, and registration is not a statement that the firm is safe or that it may hold your money. No firm on this page is scored, ranked or assessed by us, there is no green tick anywhere on this site, and lists are ordered alphabetically so that the order cannot be read as a judgement either.

An authorisation is not an endorsement. The CFTC publishes that a firm is registered as an FCM or retail foreign exchange dealer. That is a record of a registration, not a recommendation and not a statement that the firm is safe. No firm on this page is scored, ranked or assessed by us, there is no green tick anywhere on this site, and lists are ordered alphabetically so that the order cannot be read as a judgement either.

An authorisation is not an endorsement. FinCEN registration is a form a business files itself for anti-money-laundering purposes. FinCEN does not verify, license, approve or endorse registrants, and registration is not permission to offer investments, hold customer funds or trade crypto. Scam sites routinely cite it as if it were a licence. No firm on this page is scored, ranked or assessed by us, there is no green tick anywhere on this site, and lists are ordered alphabetically so that the order cannot be read as a judgement either.

44,058 entries · 44,058 recorded as current · 0 recorded as withdrawn · authorities: Financial Crimes Enforcement Network (FinCEN) · U.S. Commodity Futures Trading Commission · U.S. Securities and Exchange Commission

ABN AMRO CLEARING USA LLCFutures commission merchantCurrent
ADM INVESTOR SERVICES INCFutures commission merchantCurrent
ADVANTAGE FUTURES LLCFutures commission merchantCurrent
ALPACA DERIVATIVES LLCFutures commission merchantCurrent
AMP GLOBAL CLEARING LLCFutures commission merchantCurrent
APEX CLEARING CORPORATIONFutures commission merchantCurrent
BARCLAYS CAPITAL INCFutures commission merchantCurrent
BITNOMIAL CLEARING LLCFutures commission merchantCurrent
BNP PARIBAS SECURITIES CORPFutures commission merchantCurrent
BOFA SECURITIES INCFutures commission merchantCurrent
CANTOR FITZGERALD & COFutures commission merchantCurrent
CHARLES SCHWAB FUTURES AND FOREX LLCFutures commission merchantCurrent
CHS HEDGING LLCFutures commission merchantCurrent
CITIGROUP GLOBAL MARKETS INCFutures commission merchantCurrent
CLEAR STREET LLCFutures commission merchantCurrent
COINBASE FINANCIAL MARKETS INCFutures commission merchantCurrent
CURVATURE SECURITIES LLCFutures commission merchantCurrent
DAIWA CAPITAL MARKETS AMERICA INCFutures commission merchantCurrent
DEUTSCHE BANK SECURITIES INCFutures commission merchantCurrent
DIRECT ACCESS USA LLCFutures commission merchantCurrent
DORMAN TRADING LLCFutures commission merchantCurrent
DV SECURITIES LLCFutures commission merchantCurrent
ETRADE FUTURES LLCFutures commission merchantCurrent
FANDUEL PREDICTION MARKETS LLCFutures commission merchantCurrent
FORIS DAX FCM LLCFutures commission merchantCurrent
FUTU CLEARING INCFutures commission merchantCurrent
GAIN CAPITAL GROUP LLCFutures commission merchantCurrent
GH FINANCIALS LLCFutures commission merchantCurrent
GOLDMAN SACHS & CO LLCFutures commission merchantCurrent
GUS III LLCFutures commission merchantCurrent
HIDDEN ROAD PARTNERS CIV US LLCFutures commission merchantCurrent
HSBC SECURITIES USA INCFutures commission merchantCurrent
INTERACTIVE BROKERS LLCFutures commission merchantCurrent
IRONBEAM INCFutures commission merchantCurrent
JP MORGAN SECURITIES LLCFutures commission merchantCurrent
KALSHI PRIME LLCFutures commission merchantCurrent
LIME TRADING CORPFutures commission merchantCurrent
MACQUARIE FUTURES USA LLCFutures commission merchantCurrent
MAREX CAPITAL MARKETS INCFutures commission merchantCurrent
MCVEAN TRADING & INVESTMENTS LLCFutures commission merchantCurrent
MFI FUNDING LLCFutures commission merchantCurrent
MID CO COMMODITIES INCFutures commission merchantCurrent
MINT BROKERSFutures commission merchantCurrent
MIZUHO SECURITIES USA LLCFutures commission merchantCurrent
MOOMOO FINANCIAL INCFutures commission merchantCurrent
MORGAN STANLEY & CO LLCFutures commission merchantCurrent
MORTON ST TRADING INVESTMENTS LLCFutures commission merchantCurrent
NANHUA USA LLCFutures commission merchantCurrent
NATWEST MARKETS SECURITIES INCFutures commission merchantCurrent
NINJATRADER CLEARING LLCFutures commission merchantCurrent
NOMURA SECURITIES INTERNATIONAL INCFutures commission merchantCurrent
OANDA CORPORATIONFutures commission merchantCurrent
PERFORMANCE PREDICTIONS II LLCFutures commission merchantCurrent
PHILLIP CAPITAL INCFutures commission merchantCurrent
PLUS500US FINANCIAL SERVICES, LLCFutures commission merchantCurrent
RBC CAPITAL MARKETS LLCFutures commission merchantCurrent
RJ OBRIEN ASSOCIATES LLCFutures commission merchantCurrent
ROBINHOOD DERIVATIVES LLCFutures commission merchantCurrent
SANTANDER US CAPITAL MARKETS LLCFutures commission merchantCurrent
SCOTIA CAPITAL USA INCFutures commission merchantCurrent
SG AMERICAS SECURITIES LLCFutures commission merchantCurrent
SLEEPER MARKETS LLCFutures commission merchantCurrent
STONEX FINANCIAL INCFutures commission merchantCurrent
STRAITS FINANCIAL LLCFutures commission merchantCurrent
TASTYFX LLCRetail foreign exchange dealerCurrent
TRADESTATION SECURITIES INCFutures commission merchantCurrent
TRADING.COM MARKETS INCFutures commission merchantCurrent
UBS FINANCIAL SERVICES INCFutures commission merchantCurrent
UBS SECURITIES LLCFutures commission merchantCurrent
UDM LLCFutures commission merchantCurrent
WEBULL FINANCIAL LLCFutures commission merchantCurrent
WEBULL FUTURES LLCFutures commission merchantCurrent
WEDBUSH SECURITIES INCFutures commission merchantCurrent
WELLS FARGO SECURITIES LLCFutures commission merchantCurrent

43,984 further entries are held but not listed row by row on this page, because a single page of them would be too large to load beside the list above: U.S. Securities and Exchange Commission — Information about Registered Investment Advisers (Form ADV data) (17,143) · Financial Crimes Enforcement Network (FinCEN) — MSB Registrant Search (26,841). Use the regulator’s own search for a single name; company pages on this site that match one of these entries show it.

If the Firm You Are Checking Is Not Listed Above

That is not a finding against it. The registers we hold for United States cover only the regimes named on this page. A firm can be lawfully authorised here under a regime we do not hold, or authorised elsewhere to serve clients here.

We hold 69,058 current entries across every register on this site. Ask the firm which authority regulates it for your country, then check that authority’s own register — and treat an unwillingness to answer that question as the answer.

Search every register we hold → · Check a company or website →

What Grouping by United States Means Here

This is the jurisdiction whose authority recorded the authorisation — not necessarily the only place the firm operates. A firm authorised here may serve clients elsewhere, and a firm serving clients here may be authorised elsewhere.

Being present on this page does not mean a firm may do everything. The register overview explains what the permissions are and what falls outside them.

Other Jurisdictions

Canada 8,241 · Australia 6,473 · Germany 2,930 · France 1,986 · Japan 1,978 · Luxembourg 1,248 · Spain 1,162 · Italy 777 · Cyprus 704 · Netherlands 703 · Austria 676 · Poland 626 · Ireland 600 · Sweden 460 · Denmark 372 · Finland 343 · Norway 305 · Malta 255 · Hungary 214 · Liechtenstein 183 · Portugal 182 · Czechia 168 · Belgium 153 · Bulgaria 140 · Greece 125 · Romania 100 · Slovakia 80 · Lithuania 73 · Croatia 72 · Iceland 70 · Latvia 63 · Estonia 39 · Slovenia 31 · Philippines 9 · United Kingdom 1

SEC registration means a firm has filed Form ADV and is registered as an investment adviser. The SEC does not approve, recommend or vouch for any adviser, and registration is not a statement that the firm is safe or that it may hold your money.

This content has been edited: the SEC's monthly file has been parsed and re-presented. Sole proprietors (natural persons) are omitted and home addresses are withheld. The SEC's own copy and IAPD are authoritative. U.S. Securities and Exchange Commission does not endorse this publication.

Source: U.S. Securities and Exchange Commission — Information about Registered Investment Advisers (Form ADV data), read on 2026-10-08. Licence: Public information: "may be copied or further distributed by users of the web site without the SEC's permission" (sec.gov website dissemination notice); a work of the U.S. Government, 17 U.S.C. § 105.. The authority’s own copy is the authoritative one; ours is a copy of a public file taken on the date shown. A register is published on the authority’s own rhythm and our copy is taken on the date shown, so a firm can hold a current authorisation and still be absent from this page.

The CFTC publishes that a firm is registered as an FCM or retail foreign exchange dealer. That is a record of a registration, not a recommendation and not a statement that the firm is safe.

This content has been edited: only the firm name, registration category and designated self-regulatory organisation are carried from the CFTC's monthly workbook. Its capital and segregation figures are deliberately not reproduced. The CFTC's own copy is authoritative. U.S. Commodity Futures Trading Commission does not endorse this publication.

Source: U.S. Commodity Futures Trading Commission — Financial Data for Futures Commission Merchants, read on 2026-10-08. Licence: Public domain: "Government information at the CFTC website is in the public domain. Public domain information may be freely distributed and copied" (CFTC web policy); acknowledgement to the CFTC is requested and given here.. The authority’s own copy is the authoritative one; ours is a copy of a public file taken on the date shown. A register is published on the authority’s own rhythm and our copy is taken on the date shown, so a firm can hold a current authorisation and still be absent from this page.

FinCEN registration is a form a business files itself for anti-money-laundering purposes. FinCEN does not verify, license, approve or endorse registrants, and registration is not permission to offer investments, hold customer funds or trade crypto. Scam sites routinely cite it as if it were a licence.

This content has been edited: FinCEN's full export has been parsed and re-presented. Registrants whose names carry no corporate form are omitted, because the export cannot separate sole proprietors (natural persons) from businesses. FinCEN's own search is authoritative. Financial Crimes Enforcement Network, U.S. Department of the Treasury does not endorse this publication.

Source: Financial Crimes Enforcement Network (FinCEN) — MSB Registrant Search, read on 2026-10-09. Licence: Public information; may be distributed or copied (FinCEN site policies). A work of the U.S. Government, 17 U.S.C. § 105.. The authority’s own copy is the authoritative one; ours is a copy of a public file taken on the date shown. A register is published on the authority’s own rhythm and our copy is taken on the date shown, so a firm can hold a current authorisation and still be absent from this page.