Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

Broker-Dealer Firms We Regulate - K

# A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

K CAPITAL LLC
805 THIRD AVENUE, FLOOR 14, NEW YORK, NY 10022

K. W. CHAMBERS & CO.
7800 FORSYTH, 5TH FLOOR, CLAYTON, MO 63105

KA ASSOCIATES, INC.
1800 AVENUE OF THE STARS, THIRD FLOOR, LOS ANGELES, CA 90067

KAHN BROTHERS LLC
555 MADISON AVENUE, SUITE 1303, NEW YORK, NY 10022-3301

KAL CAPITAL MARKETS LLC
100 WEST BROADWAY, SUITE 205, LONG BEACH, CA 90802

KALORAMA CAPITAL, LLC
1718 22ND ST NW, WASHINGTON, DC 20008

KALOS CAPITAL, INC.
11525 PARK WOODS CIRCLE, SUITE 280, ALPHARETTA, GA 30005

KAPITALL GENERATION, LLC
10816 CROWN COLONY DRIVE, #204, AUSTIN, TX 78747

KARBONE CAPITAL MARKETS, LLC
675 THIRD AVEUNE, 30TH FLOOR, SUITE 3004, NEW YORK, NY 10017
Mailing Address: 675 THIRD AVENUE, SUITE 3004, NEW YORK, NY 10017

KARMEQ, LLC
318 WESTLAKE CENTER, SUITE 203, DALY CITY, CA 94015
Mailing Address: ONE MARKET, SPEAR TOWER, 36TH FLOOR, SAN FRANCISCO, CA 94105

KATALYST SECURITIES LLC
655 THIRD AVENUE, 18TH FLOOR, NEW YORK, NY 10017

KAUFMAN & COMPANY, LLC
100 FRANKLIN STREET, STE. 403, BOSTON, MA 02110

KAWA SECURITIES LLC
21500 BISCAYNE BLVD., SUITE 201, AVENTURA, FL 33180

KAYAN SECURITIES, INC.
3460 WILSHIRE BLVD, # 1110, LOS ANGELES, CA 90010-2224

KBC SECURITIES USA LLC
1177 AVENUE OF THE AMERICAS, 7TH FLOOR, NEW YORK, NY 10036

KBD SECURITIES, LLC
470 PARK AVENUE SOUTH, NEW YORK, NY 10016

KBFG SECURITIES AMERICA INC.
1370 AVENUE OF THE AMERICAS, SUITE 2700, NEW YORK, NY 10019

KBS CAPITAL MARKETS GROUP LLC
800 NEWPORT CENTER DRIVE, SUITE 700, NEWPORT BEACH, CA 92660

KCD FINANCIAL, INC.
3061 ALLIED STREET, SUITE B, GREEN BAY, WI 54304

KCOE CAPITAL LLC
2725 NW 24TH AVE., CAMAS, WA 98607

KCR CAPITAL, LLC
LAKEWOOD-GREEN MOIUNTAIN BUILDING, 12340 WEST ALAMEDA PARKWAY, SUITE 211, LAKEWOOD, CO 80228
Mailing Address: LAKEWOOD-GREEN MOUNTAIN BUILDING, 12340 WEST ALAMEDA PARKWAY, SUITE 211, LAKEWOOD, CO 80228

KEEFE, BRUYETTE & WOODS, INC.
787 7TH AVENUE, NEW YORK, NY 10019
Mailing Address: 787 7TH AVENUE, 4TH FLOOR, NEW YORK, NY 10019

KEEL POINT CAPITAL, LLC
100 CHURCH STREET, SUITE 500, HUNTSVILLE, AL 35801

KELSON CAPITAL LLC
39 BROADWAY, 16TH FLOOR; SUITE 1640, NEW YORK, NY 10006

KEMA PARTNERS LLC
309 LAVERNE AVE., MILL VALLEY, CA 94941

KEMPEN & CO U.S.A., INC.
880 THIRD AVENUE, 17TH FLOOR, NEW YORK, NY 10022

KENMAR SECURITIES, LLC
110 EAST 59TH STREET, SUITE 3200, NEW YORK, NY 10022
Mailing Address: PO BOX 5537, NEW YORK, NY 10185-5537

KENNETH, JEROME & CO.,INC.
215 RIDGEDALE AVE  SUITE 104, FLORHAM PK, NJ 07932
Mailing Address: P.O. BOX 38, FLORHAM PK, NJ 07932-0038

KENSINGTON CAPITAL CORP.
4910 13TH AVE., BROOKLYN, NY 11219-3100

KEPLER CAPITAL MARKETS, INC.
12 EAST 49TH STREET, 36TH FLOOR, NEW YORK, NY 10017
Mailing Address: 12 EAST 49TH STREET, SUITE 3605, NEW YORK, NY 10017

KERSHNER SECURITIES, LLC
1825-B KRAMER LANE, SUITE 200, AUSTIN, TX 78758-4281

KESTRA INVESTMENT SERVICES, LLC
5707 SOUTHWEST PARKWAY, BUILDING 2, SUITE 400, AUSTIN, TX 78735

KEVIN HART KORNFIELD & COMPANY, INC.
2137 EMBASSY DRIVE STE 105, LANCASTER, PA 17603-2387
Mailing Address: P.O. BOX 6423, LANCASTER, PA 17607-6423

KEY INVESTMENT SERVICES LLC
4900 TIEDEMAN ROAD, OH-01-49-0215, BROOKLYN, OH 44144

KEYBANC CAPITAL MARKETS INC.
127 PUBLIC SQUARE, CLEVELAND, OH 44114

KEYSTONE CAPITAL MARKETS
20 PACIFICA, SUITE 450, IRVINE, CA 92618

KIDRON CAPITAL SECURITIES LLC
1450 BROADWAY, 39TH FLOOR, NEW YORK, NY 10018

KILEY PARTNERS, INC.
16 BEL GIORNO COURT, HENDERSON, NV 89011

KIMELMAN & BAIRD, LLC
800 THIRD AVENUE, SUITE 2300, NEW YORK, NY 10022

KINECTA WEALTH MANAGEMENT
973 S. WESTLAKE BLVD., WESTLAKE VILLAGE, CA 91361
Mailing Address: 973 S. WESTLAKE BLVD, WESTLAKE VILLAGE, CA 91361

KINETICS FUNDS DISTRIBUTOR LLC
470 PARK AVENUE SOUTH, 8TH FLOOR, NEW YORK, NY 10016

KINGFISHER SECURITIES, LLC
80 S. EIGHTH STREET, SUITE 900, MINNEAPOLIS, MN 55402

KINGSWOOD CAPITAL PARTNERS, LLC
11440 W. BERNARDO CT., SUITE 300, SAN DIEGO, CA 92127
Mailing Address: 11440 W. BERNARDO CT., SUITE 5300, SAN DIEGO, CA 92127

KIPLING CAPITAL, INC.
100 SHORELINE HWY. 200-B, MILL VALLEY, CA 94941

KIPPSDESANTO & COMPANY
8000 TOWERS CRESCENT DRIVE, SUITE 1200, TYSONS CORNER, VA 22182

KISKI SECURITIES LLC
1330 AVENUE OF THE AMERICAS, SUITE 23A, NEW YORK, NY 10019

KITTLE CAPITAL MARKETS, LLC
310 E 96TH STREET, SUITE 400, INDIANAPOLIS, IN 46240
Mailing Address: 310 E 96TH  STREET, SUITE 400, INDIANAPOLIS, IN 46240

KKR CAPITAL MARKETS LLC
30 HUDSON YARDS, NEW YORK, NY 10001

KOEHLER FINANCIAL, LLC
5764 JAMES DRIVE, STEVENSVILLE, MI 49127

KOONCE SECURITIES, LLC
6229 EXECUTIVE BLVD., ROCKVILLE, MD 20852

KOPENTECH CAPITAL MARKETS LLC
10880 WILSHIRE BOULEVARD, SUITE 1101, LOS ANGELES, CA 90024

KOREA INVESTMENT & SECURITIES AMERICA, INC.
1350 AVENUE OF THE AMERICAS, SUITE 1602, NEW YORK, NY 10019

KOREFUSION CAPITAL LLC
1467 FUNSTON STREET, SAN FRANCISCO, CA 94122

KOTAK MAHINDRA, INC.
369 LEXINGTON AVENUE, 28TH FLOOR, NEW YORK, NY 10017

KOVACK INTERNATIONAL WEALTH MANAGEMENT, INC.
6451 N. FEDERAL HWY, FT. LAUDERDALE, FL 33308

KOVACK SECURITIES INC.
6451 N. FEDERAL HWY., SUITE 1201, FT. LAUDERDALE, FL 33308

KPG CAPITAL PARTNERS, LLC
2078 PROSPECTOR AVENUE, UNIT 11, PARK CITY, UT 84060

KPMG CORPORATE FINANCE LLC
200 E. RANDOLPH STREET, SUITE 5500, CHICAGO, IL 60601-6436

KR SECURITIES, LLC
600 PRETTY BROOK ROAD, PRINCETON, NJ 08540
Mailing Address: P.O. BOX 7787, PRINCETON, NJ 08543-7787

KRAMBO CORPORTION
1355 BAY STREET, #4, SAN FRANCISCO, CA 94123
Mailing Address: THE PRESIDIO OF SAN FRANCISCO, MAIL CAL BOX 29310, SAN FRANCISCO, CA 94129-0310

KSG ADVISORS, LLC
390 NORTH BROADWAY, 3RD FLOOR, JERICHO, NY 11753

KUEHL CAPITAL CORPORATION
14747 CALIFORNIA STREET, SUITE 1, OMAHA, NE 68154

KURT SALMON CAPITAL ADVISORS, LLC
3340 PEACHTREE ROAD NE, SUITE 2225, ATLANTA, GA 30326

KUYKENDALL & SCHNEIDER, INC.
8009 GENOA AVENUE, LUBBOCK, TX 79424

KW SECURITIES CORPORATION
100 LARKSPUR LANDING CIRCLE, SUITE 200, LARKSPUR, CA 94939

Last updated: 12/14/21