Based in the New York City Tri-State Area
Nationwide FINOP Support, Wherever You Operate
Our partners are based in the New York City Tri-State Area, and we work with broker-dealers and investment advisers across the country. Each state brings its own regulators, filings, and expectations. Choose yours to see how we help.
By the Numbers
Five States, Most of the Industry
New York, California, Florida, Illinois, and Texas rank as the top five states for both FINRA-registered firm headquarters and branch offices. Together they account for 1,870 of the 3,184 firms in the country.
- Share of FINRA-registered firms
- 59%
- Of FINRA-registered firms are headquartered in these five states
- Share of FINRA branch offices
- 36%
- Of all FINRA branch offices nationwide are located in them
FINRA-Registered Firms by Headquarters State
Year-end 2025. Hover or focus a state for its branch office count.
- New York914 firms headquartered, 9,448 branch offices
- California299 firms headquartered, 14,711 branch offices
- Florida261 firms headquartered, 11,952 branch offices
- Illinois205 firms headquartered, 6,574 branch offices
- Texas191 firms headquartered, 10,354 branch offices
Our Locations
Choose Your State
Each page covers the regulators, filings, and local considerations that matter to broker-dealers in that state, and how we support firms there.
Home BaseNew York City and the Tri-State Area
New York
Our home base. In-person support for firms across New York City, Long Island, and the wider Tri-State Area.
- Firms Headquartered
- 914
- Branch Offices
- 9,448
Chicago and Statewide
Illinois
Support for firms in Chicago and across Illinois, from one of the country's great trading cities.
- Firms Headquartered
- 205
- Branch Offices
- 6,574
Los Angeles, San Francisco, and Statewide
California
Support for firms from Los Angeles to San Francisco, in the state with the most FINRA branch offices.
- Firms Headquartered
- 299
- Branch Offices
- 14,711
Dallas, Houston, Austin, and Statewide
Texas
Support for firms in Dallas, Houston, Austin, and beyond, as Texas grows into a national financial center.
- Firms Headquartered
- 191
- Branch Offices
- 10,354
Miami, Boca Raton, Tampa, and Statewide
Florida
Support for firms in Miami, Boca Raton, Tampa, and beyond, as more broker-dealers make Florida their home.
- Firms Headquartered
- 261
- Branch Offices
- 11,952
Free Consultation
Don't See Your State? We Work Nationwide
Our partners are based in the New York City Tri-State Area, and we support broker-dealers and investment advisers across the country, remotely after an initial on-site meeting or with a contractor in your office. Book a free call with Ed to talk through your firm.