Financial Sector Stocks

U.S. Exchanges

Stocks in the Financial Sector

There are more publicly traded companies in the financial sector on U.S. exchanges than almost any other sector. Here is a little info on some of the segments within this category to help you find potential investments in areas that interest you. A list of publicly traded financial sector stocks can be found by scrolling down or you can access a list of the companies in each category through the industry links on this page.

Asset Management: There are a number of asset management companies and we have divided these companies into three areas, large cap, mid and small-cap companies and alternative asset management companies. To simplify a very complex investing area, the non-alternative companies focus on strategies such as equities and fixed income and use investment vehicles like closed-end and mutual funds. Alternative asset management companies use a wide variety of non-traditional strategies which can include credit investments, direct lending, private equity and real estate. Examples of companies in these categories include:

Bank of New York Mellon Corporation (The) (BK)

BlackRock, Inc. (BLK)

Blackstone Group (The) L.P. (BX)

Franklin Resources, Inc. (BEN)

Morgan Stanley (MS)

T Rowe ( Price Group, Inc. (TROW)

Charles Schwab Corporation (The) (SCHW)

Banks: There are literally hundreds of publicly traded banks and savings institutions. We have created a separate section for this category.

Brokers: This section includes companies that offer brokerage services to individual and institutional investors as well as financial advisors. Examples of these companies include E*TRADE Financial Corporation (ETFC) and Interactive Brokers Group, Inc. (IBKR).

Credit Cards: This section contains large companies like American Express Company (AXP), Discover Financial Services (DFS), Mastercard Incorporated (MA) and Visa Inc. (V) along with a number of companies that focus on prepaid card products.

Electronic Trading Services: These companies provides trading services which can include trading platforms, market making, price discovery, trade execution and order management. This section consists primarily of small-cap companies.

Exchanges: The companies in this section own and operate well-known U.S. exchanges in addition to a number of foreign exchanges. Examples of companies in this category include CME Group Inc. (CME), Intercontinental Exchange Inc. (ICE) and The NASDAQ OMX Group, Inc. (NDAQ).

Financial News, Research and Data: These companies provide analytics, data, insights, news, research and/or related tools to both retail and institutional investors. Examples of companies in this section include Dun & Bradstreet Corporation (The) (DNB), McGraw Hill Financial, Inc. (MHFI), Moody’s Corporation (MCO) and Thomson Reuters Corp (TRI).

Financial Services: Most of the companies in this section provide loans (or loan services) to individual consumers and/or businesses. Examples of some of the larger companies in this category include Ally Financial Inc. (ALLY) and CIT Group Inc. (CIT) .

Insurance: There are quite a few publicly traded insurance companies and we have created an insurance section specifically for these companies.

Investment Banks: The companies perform a wide range of activities including underwriting public offerings and assisting with mergers and acquisitions. Examples of investment banks include Goldman Sachs Group, Inc. (The) (GS) and Morgan Stanley (MS).

Mortgage Investments: This is a fairly large category with numerous companies who invest in mortgage related investments. Most of the companies in this section are real estate investment trusts (REITs) and some of the larger REITs in this category include American Capital Agency Corp. (AGNC),  Annaly Capital Management Inc. (NLY) and Starwood Property Trust, Inc. (STWD).

Mortgage Services: The majority of these companies are involved with the origination, servicing, acquisition and/or sale of mortgage loans.

Student Loans: These companies provide a wide range of student loan services which include private student loans and loan servicing. Examples of companies in this category include:

Nelnet, Inc. (NNI)

SLM Corporation (SLM)

Related Links:

List of Publicly Traded Companies

List of Public Companies in the Real Estate Sector

List of REITs

Financial Sector ETFs



Financial Sector Sector Resources

List of Recent IPOs, ETFs and Comparative Tools

List of Financial Sector Stocks

U.S. Exchanges

Affiliated Managers Group, Inc. (AMG) (Asset Management)

AllianceBerstein Holdings L.P. (AB) (Asset Management)

Ally Financial Inc. (ALLY) (Financial services: Automotive)

American Express Company (AXP)

Ameriprise Financial Services, Inc. (AMP) (Asset Management)

Apollo Global Management, LLC. (APO) (Alternative asset management: Credit, private equity and real estate)

Ares Management L.P. (ARES) (Alternative asset management: Direct lending, private equity, real estate and tradable credit)

Artisan Partners Asset Management Inc. (APAM) (Asset Management)

Ashford Inc. (AINC)  (Asset Management)

Atlanticus Holdings Corporation (ATLC) (Financial services: Credit Cards, Auto, Retail, Loan Servicing)

B Riley Financial, Inc. (RILY) (Investment bank)

Bank of New York Mellon Corporation (The) (BK) (Asset Management)

BGC Partners, Inc. (BGCP) (Provides services to both the financial and real estate markets)

Blackhawk Network Holdings, Inc. (HAWK) (Prepaid products)

BlackRock, Inc. (BLK) (Asset Management)

Calamos Asset Management, Inc. (CLMS) (Asset Management)

CBOE Holdings, Inc. (CBOE) (Chicago Board Options Exchange, C2 Options Exchange and CBOE Futures Exchange)

China Finance Online Co. Limited (JRJC) (China; financial websites)

China Internet Nationwide Financial Services Inc. (CIFS) (IPO August 8, 2017; financial advisory services to small/mid-sized enterprises)

China Lending Corporation (CLDC) (China: lending services)

China Rapid Finance Limited (XRF) (IPO April, 28, 2017; China: operates consumer lending marketplace)

CIFC Corp. (CIFC) (Alternative asset management: Credit investments)

CIT Group Inc. (DEL) (CIT) (Financing and leasing services to middle market companies)

CME Group Inc. (CME) (CBOT, CME, COMEX and NYMEX)

Cohen & Steers Inc. (CNS)  (Asset Management)

Consumer Portfolio Services, Inc. (CPSS) (Financial services: Automotive)

Cowen Group, Inc. (COWN) (Investment banking, brokerage, alternative asset management)

CPI Card Group, Inc. (PMTS) (IPO in October 2015: Payment card solutions and related services)

Credit Acceptance Corporation (CACC) (Financial services: Automotive)

Diamond Hill Investment Group, Inc. (DHIL) (Asset Management)

Discover Financial Services (DFS)

Dun & Bradstreet Corporation (The) (DNB) (Analytics, data and analysis on businesses)

E*TRADE Financial Corporation (ETFC) (Online brokerage services)

Eaton Vance Corporation (EV) (Asset Management)

Elevate Credit, Inc. (ELVT) (IPO April 6, 2017; online credit solutions)

Enova International, Inc. (ENVA) (Financial services: Online Consumer Loans)

Evercore Partners Inc. (EVR) (Investment bank)

FactSet Research Systems Inc. (FDS) (Research, analytics, data feeds and mobile applications used by investment professionals)

Federal Agricultural Mortgage Corporation (AGM) (Assists in providing agricultural mortgage and rural utilities loans in the secondary market)

Federated Investors, Inc. (FII) (Asset Management)

Fifth Street Asset Management Inc. (FSAM) (Alternative asset management: Financing solutions to small and mid-sized companies)

Financial Engines, Inc. (FNGN) (Asset Management)

FleetCor Technologies, Inc. (FLT) (Fuel cards, food cards, corporate discount lodging cards)

Fortress Investment Group LLC (FIG) (Asset Management)

Franklin Resources, Inc. (BEN) (Asset Management)

GAIN Capital Holdings, Inc. (GCAP) (Trading services: Global OTC, forex, futures)

Gamco Investors, Inc. (GBL) (Asset Management)

Global Brokerage, Inc. (GLBR) (Forex)

Goldman Sachs Group, Inc. (The) (GS) (Asset Management)

Green Dot Corporation (GDOT) (Prepaid debit cards)

Greenhill & Co., Inc. (GHL) (Investment bank: Only provides advisory services)

Hamilton Lane Incorporated (HLNE) (IPO March 1, 2017; alternative investment management)

Hennessy Advisors, Inc. (HNNA)   (Asset Management)

Houlihan Lokey, Inc. (HLI) (Investment bank)

IHS Markit Ltd. (INFO) (United Kingdom; indices, data and analytical tools)

Institutional Financial Markets, Inc. (IFMI) (Alternative asset management: Credit investments)

INTL FCStone Inc. (INTL) (Trading services: Commodities, equities and forex)

Interactive Brokers Group, Inc. (IBKR) (Automated electronic broker)

Intercontinental Exchange Inc. (ICE) (New York Stock Exchange, Ice Futures Exchange)

Invesco Plc. (IVZ) (Asset Management)

Investment Technology Group, Inc. (ITG) (Execution and research broker)

Janus Henderson Group plc (JHG) (Asset Management)

JMP Group LLC (JMP) (Investment bank)

Jupai Holdings Ltd. (JP) (IPO in July 2015: China: third-party wealth management service provider)

KKR & Co. L.P. (KKR) (Asset Management)

Ladenburg Thalmann Financial Services Inc. (LTS) (Investment banking, broker-dealers)

Lazard Ltd. (LAZ) (Asset Management)

Legg Mason, Inc. (LM) (Asset Management)

LendingClub Corporation (LC) (Online loan marketplace)

LendingTree, Inc. (TREE) (Online loan marketplace)

LPL Financial Holdings Inc. (LPLA) (Brokerage and investment advisory services)

Manning & Napier, Inc. (MN) (Asset Management)

MarketAxess Holdings, Inc. (MKTX) (Fixed income trading services)

Marlin Business Services Corp. (MRLN) (Financial services)

Mastercard Incorporated (MA)

Medallion Financial Corp. (MFIN) (Financial services: Consumer loan products)

Medley Management Inc. (MDLY) (Alternative asset management: Senior secured loans provided to small and mid-sized companies)

Moelis & Company (MC) (Investment bank)

Moody’s Corporation (MCO) (Analysis, data, credit ratings, research and tools)

Morgan Stanley (MS) (Asset Management)

Morningstar, Inc. (MORN) (Data and investment research)

MSCI Inc. (MSCI) (Research-driven financial insights and tools)

NewStar Financial, Inc. (NEWS) (Financing and leasing services to middle market companies)

Nicholas Financial, Inc. (NICK) (Financial services: Automotive)

Noah Holdings Ltd. (NOAH) (China: asset management)

Nomura Holdings Inc (NMR) (Asset Management)

Oaktree Capital Group, LLC. (OAK) (Alternative asset management: Convertible securities, corporate debt, distressed debt, real estate and listed equities)

Och-Ziff Capital Management Group LLC. (OZM) (CLOs, credit funds, equity funds, multi-strategy funds and real estate funds)

OM Asset Management Plc. (OMAM) (United Kingdom: asset management)

On Deck Capital, Inc. (ONDK) (Small-business loans)

OneMain Holdings, Inc. (OMF) (Financial lending)

Oppenheimer Holdings, Inc. (OPY) (Broker-dealer; investment banking)

Piper Jaffray Companies (PJC) (Investment banking and asset management)

Pzena Investment Management Inc. (PZN) (Asset Management)

Qudian Inc. (QD) (IPO October 18, 2017; online credit products)

Raymond James Financial, Inc. (RJF) (Broker-dealer; investment banking)

S&P Global Inc. (SPGI) (Leading benchmarks & ratings, analytics, data and research)

Santander Consumer USA Holdings Inc. (SC) (Financial services: Automotive)

SEI Investments Company (SEIC) (Asset Management)

Siebert Financial Corp. (SIEB) (Broker-dealer; investment banking)

Silvercrest Asset Management Group Inc. (SAMG) (Asset Management)

Stifel Financial Corporation (SF) (Broker-dealer; investment banking)

Synchrony Financial (SYF) (Private label credit cards)

TD Ameritrade Holding Corporation (AMTD) Brokerage and financial services)

The Blackstone Group L.P. (BX) (Credit-oriented funds, closed end mutual funds, customized hedge fund funds, private equity funds and real estate funds)

The Carlyle Group L.P. (CG) (Alternative asset management: Corporate private equity, global market strategies, real assets)

The Charles Schwab Corporation (SCHW)  (Asset Management)

The NASDAQ OMX Group, Inc. (NDAQ) (NASDAQ and numerous NASDAQ branded exchanges)

Thomson Reuters Corp (TRI) (Financial, legal, tax & accounting and intellectual property &science news, data, software and tools)

T Rowe Price Group, Inc. (TROW) (Asset Management)

U.S. Global Investors, Inc. (GROW) (Asset Management)

Value Line, Inc. (VALU) (Investment research)

Virtu Financial, Inc. (VIRT) (IPO in April 2015: high-frequency trading and market making firm)

Virtus Investment Partners, Inc. (VRTS) (Asset Management)

Visa Inc. (V)

Voya Financial, Inc. (VOYA) (Asset Management)

Waddell & Reed Financial, Inc. (WDR) (Asset Management)

Walker & Dunlop, Inc. (WD) (Commercial real estate)

Westwood Holdings Group Inc. (WHG) (Asset Management)

WEX Inc. (WEX) (Fuel cards)

WisdomTree Investments, Inc. (WETF) (Asset management: focuses exclusively on ETFs)

World Acceptance Corporation (WRLD) (Consumer loans)

Yintech Investment Holdings Limited (YIN) (China: spot commodity trading services)

Yirendai Ltd. (YRD) (IPO in December 2015: China: internet loan platform)

ZAIS Group Holdings, Inc. (ZAIS) (Alternative asset management: CLOs, CMBS, corporate fixed income instruments, mortgage-related fixed income instruments, Non-Agency RMBS and residential whole loans)