Ceros Financial Services, Inc. (Ceros) is a registered U.S. broker‑dealer serving clients in the US stock market with brokerage execution, trading support, capital markets services, and distribution of investment products. The firm is registered with the Securities and Exchange Commission (SEC), is a member of the Financial Industry Regulatory Authority (FINRA), is approved on the Nasdaq Stock Market, and is a member of the Securities Investor Protection Corporation (SIPC). Ceros operates as a broker‑dealer supporting institutional clients, financial advisors, and individual investors through execution services and clearing arrangements.
What Services Does Ceros Financial Services, Inc. Offer?
Ceros Financial Services acts as one of the stock exchange brokers focused on brokerage and trade execution services.
| Service Category | What Ceros Financial Services Offers |
| Brokerage Execution | Execution of securities trades and clearing support for client transactions |
| Trading Support | Brokerage and back office services to institutional clients and RIAs |
| Distribution Services | Principal underwriter and distributor for certain mutual fund shares |
| Capital Markets Support | Placement agent and fundraising services through affiliates and divisions |
| Clearing Relationships | Correspondent clearing via National Financial Services (NFS) for order execution and settlement |
Ceros does not make investment recommendations or monitor investments for clients in its brokerage role; advisory services are provided through affiliated or unaffiliated investment advisers.
Who Is Ceros Financial Services, Inc. For?
Ceros Financial Services primarily serves:
- Institutional clients and Registered Investment Advisers (RIAs) needing brokerage execution and clearing support
- Financial professionals looking for distribution and underwriting services
- Clients evaluating NASDAQ stock brokers for institutional trade execution
- Investors accessing brokerage infrastructure without advisory recommendations
The firm’s platform supports broker‑dealer infrastructure and trade execution rather than discretionary investment advice.
Which Markets and Exchanges Can You Trade Through Ceros Financial Services?
Market Access
- NASDAQ markets as an approved participant
- Other major U.S. listed securities and trading venues
- Access to trading and clearing infrastructure via correspondent clearing firms
This enables clients to transact in a broad range of U.S. securities and related products. Participation on Nasdaq and other exchanges places Ceros among recognized NASDAQ stock brokers in the regulated U.S. market.
Regulatory Memberships
- SEC registered broker‑dealer
- FINRA member
- SIPC member
- Nasdaq Stock Market approved
These memberships and approvals help ensure compliance with U.S. securities regulations and provide investor protections.
How Ceros Financial Services Helps You Trade
Here is how typical brokerage activity works with Ceros Financial Services:
- Open a brokerage account with Ceros or through an affiliated financial professional
- Fund the account according to regulatory and firm requirements
- Place orders for stocks, ETFs, and other securities
- Ceros executes the trades and routes them for clearing via its correspondent clearing partner
- Clients receive confirmations, reporting, and trade settlement details
Ceros focuses on execution services and does not provide ongoing investment monitoring or discretionary management for brokerage accounts.
Contact Information and Website
| Detail | Information |
| Official Website | https://www.cerosfs.com |
| Headquarters Address | 1445 Research Blvd., Suite 530, Rockville, MD 20850, USA |
| Regulatory Status | Member SEC, FINRA, Nasdaq, SIPC |
| Phone | 866‑842‑3356 (as listed in disclosure references) |
| CRD | 37869 |
Ceros also operates branch locations as needed to support financial professionals and advisor clients.
Headquarters Location
Why Ceros Financial Services Matters for Investors
Ceros Financial Services is notable for:
- Providing brokerage execution and infrastructure in the regulated US stock market
- Supporting institutional and adviser platforms with trade routing and clearing
- Participation on the Nasdaq Stock Market as an approved broker‑dealer
- Distribution and underwriting services for mutual funds and placement support
Ceros bridges execution services with capital markets access, making it a relevant participant among U.S. stock exchange brokers.
Readers looking for the complete U.S. stock exchanges list can explore our detailed guide.
Frequently Asked Questions
Q1: Is Ceros Financial Services a regulated broker-dealer?
Yes. The firm is registered with the SEC and is a member of FINRA, SIPC, and the Nasdaq Stock Market.
Q2: Can I trade U.S. stocks through Ceros?
Ceros provides brokerage execution services and trade clearing support, but individual investor accounts may be held through affiliated RIAs or financial professionals.
Q3: Does Ceros provide investment advisory services?
No. Ceros is registered solely as a broker-dealer and does not provide advisory services or monitor investments directly.
Q4: Where is Ceros headquartered?
Ceros is headquartered in Rockville, Maryland.
