Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| "a" Street Financial Advisors, Inc. CRD: 128410 | - | 0 | 0 | - | Unknown |
| "NET of" Advisory CRD: 306507 | - | 0 | 0 | - | Unknown |
| "Shareamerica" CRD: 13234 | - | 0 | 0 | A | INACTIVE |
| "Tate Asset Management" and "DCO Wealth Management… CRD: 160657 | - | 0 | 2 | - | Unknown |
| "the Pilot's Advisor," LLC CRD: 160241 | - | 0 | 1 | - | Unknown |
| &Partners CRD: 3767 | TN | 9 | 225 | B | Active |
| &Wealth Partners CRD: 149136 | - | 0 | 3 | - | Unknown |
| (K) Street Advisors Ltd. Co. CRD: 281376 | - | 0 | 0 | - | Unknown |
| (K)Abbage (K)Onsulting LLC CRD: 316315 | - | 0 | 0 | - | Unknown |
| 010118 Management, L.P. CRD: 301237 | - | 0 | 1 | - | Unknown |
| 01VC Advisor Ltd CRD: 302097 | - | 0 | 0 | - | Unknown |
| 021 Capital, LLC CRD: 335405 | - | 0 | 1 | - | Unknown |
| 05 Capital Advisors LLC CRD: 332097 | - | 0 | 1 | - | Unknown |
| 1 AM Gaming LLC CRD: 326905 | - | 0 | 1 | - | Unknown |
| 1 American Solution, LLC CRD: 324968 | - | 0 | 0 | - | Unknown |
| 1 Bluebill Financial CRD: 288768 | - | 0 | 0 | - | Unknown |
| 1 Main Capital Management, LLC CRD: 321976 | - | 0 | 0 | - | Unknown |
| 1 Main Capital Management, LLC CRD: 328626 | - | 0 | 1 | - | Unknown |
| 1 North Wealth Services, LLC CRD: 115948 | - | 0 | 2 | - | Unknown |
| 1 Seed Partners LLC CRD: 329288 | - | 0 | 1 | - | Unknown |
| 1 Timothy 6 V 7 LLC CRD: 317642 | - | 0 | 1 | - | Unknown |
| 1 Union Management, LLC CRD: 282892 | - | 0 | 2 | - | Unknown |
| 1-800 NO Loads, Inc. CRD: 42264 | - | 0 | 0 | A | INACTIVE |
| 1-800-401K PLAN.COM, LLC CRD: 134180 | - | 0 | 2 | - | Unknown |
| 1.21 Gigawatts Management Company LLC CRD: 322340 | - | 0 | 1 | - | Unknown |
| 10 East Partners LLC CRD: 322360 | - | 0 | 1 | - | Unknown |
| 10 KEY Consulting, LLC CRD: 294775 | - | 0 | 1 | - | Unknown |
| 10 Star Asset Management CRD: 145873 | - | 0 | 2 | - | Unknown |
| 10 West Advisors, Inc. CRD: 290598 | - | 0 | 1 | - | Unknown |
| 10,000 Days Capital Management LLC CRD: 330647 | - | 0 | 1 | - | Unknown |
| 10-15 Associates, Inc. CRD: 113714 | - | 0 | 0 | - | Unknown |
| 100 Acre Management, LP CRD: 320714 | - | 0 | 1 | - | Unknown |
| 100 Acre Ventures, LLC CRD: 308199 | - | 0 | 0 | - | Unknown |
| 100 Capital Partners LLC CRD: 293818 | - | 0 | 0 | - | Unknown |
| 100 Plus Planning CRD: 329985 | - | 0 | 1 | - | Unknown |
| 10000 Acres Group, LLC CRD: 339963 | - | 0 | 1 | - | Unknown |
| 100KM Ventures LLC CRD: 332928 | - | 0 | 1 | - | Unknown |
| 100X Entrepreneur Fund Advisory, LLC CRD: 330125 | - | 0 | 0 | - | Unknown |
| 1015 Capital Partners, LLC CRD: 328453 | - | 0 | 3 | - | Unknown |
| 1020 Capital Management Limited CRD: 314029 | - | 0 | 0 | - | Unknown |
| 103 Advisory Group CRD: 314694 | - | 0 | 1 | - | Unknown |
| 1031 Exchange Place, Inc. CRD: 111770 | - | 0 | 0 | A | INACTIVE |
| 1031 Securities Inc. CRD: 326590 | MI | 0 | 5 | A | Active |
| 1035 Capital Management LLC CRD: 306526 | - | 0 | 1 | - | Unknown |
| 105 Asset Management, LLC CRD: 283419 | - | 0 | 0 | - | Unknown |
| 1060 Capital, LLC CRD: 174763 | - | 0 | 0 | - | Unknown |
| 108 Biocapital Growth Fund, LP CRD: 339648 | - | 0 | 1 | - | Unknown |
| 1080 Financial Group CRD: 226710 | - | 0 | 0 | - | Unknown |
| 10D Consulting Services Ltd. CRD: 301521 | - | 0 | 0 | - | Unknown |
| 10Elms LLP CRD: 323398 | - | 0 | 3 | - | Unknown |
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