Broker-Dealer Firms
279 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 |
|---|---|---|---|---|---|
| ACE Diversified Capital, Inc. CRD: 41768 | CA | 2 | 2 | B | Active |
| Acorns Securities, LLC CRD: 168172 | CA | 2 | 2 | B | Active |
| AIP Capital Markets LLC CRD: 288932 | CA | 0 | 2 | A | Active |
| Airwallex Capital (US) LLC CRD: 332388 | CA | 0 | 2 | A | Active |
| Alamo Capital CRD: 26193 | CA | 3 | 5 | B | Active |
| Albert Securities, LLC CRD: 305928 | CA | 0 | 2 | A | Active |
| Allocations Securities CRD: 317750 | CA | 0 | 2 | A | Active |
| Alternative Access Capital, LLC CRD: 129469 | CA | 1 | 2 | B | Active |
| Altitude Capital Group LLC CRD: 325198 | CA | 0 | 1 | A | Active |
| American Discovery Advisors, LLC CRD: 287488 | CA | 0 | 2 | A | Active |
| American Fundstars CRD: 315860 | CA | 0 | 3 | A | Active |
| American Investors Company CRD: 38 | CA | 5 | 44 | B | Active |
| American Trust Investment Services, Inc. CRD: 3001 | CA | 6 | 9 | B | Active |
| Anchor BAY Securities, LLC CRD: 47360 | CA | 0 | 3 | A | Active |
| Apexus Capital LLC CRD: 281779 | CA | 0 | 2 | A | Active |
| Apsec Capital Partners, LLC CRD: 149687 | CA | 0 | 2 | A | Active |
| AQ Technology Partners LLC CRD: 304996 | CA | 0 | 2 | A | Active |
| Aquilo Partners, L.P. CRD: 114909 | CA | 0 | 4 | A | Active |
| Aream Advisors LLC CRD: 318177 | CA | 0 | 2 | A | Active |
| ARK Securities LLC CRD: 246787 | CA | 0 | 3 | A | Active |
| Armory Securities, LLC CRD: 147796 | CA | 0 | 6 | A | Active |
| Assetmark Brokerage, LLC CRD: 169804 | CA | 0 | 6 | A | Active |
| Atlas Technology Group LLC CRD: 152828 | CA | 0 | 3 | A | Active |
| Atomic Vaults Securities, LLC CRD: 317194 | CA | 0 | 2 | A | Active |
| Avisen Wealth Management, Inc. CRD: 125977 | CA | 0 | 3 | A | Active |
| AW Securities CRD: 103747 | CA | 0 | 31 | A | Active |
| B.B. Graham & Company, Inc. CRD: 41533 | CA | 7 | 41 | B | Active |
| Backstrom Mccarley Berry & Co., LLC CRD: 124503 | CA | 0 | 2 | A | Active |
| Bainbridge Capital Securities, Inc. CRD: 304472 | CA | 0 | 2 | A | Active |
| Balanced Security Planning, Inc. CRD: 4038 | CA | 2 | 2 | B | Active |
| Banyan Securities, LLC CRD: 22395 | CA | 6 | 2 | C | Active |
| Banyan Tree Securities, LLC CRD: 171479 | CA | 0 | 2 | A | Active |
| Bardi Co. LLC CRD: 166134 | CA | 0 | 6 | A | Active |
| Bayridge Securities, LLC CRD: 155765 | CA | 0 | 2 | A | Active |
| Beacons Strategic Capital, Inc. CRD: 32754 | CA | 1 | 4 | B | Active |
| Benefit Funding Services, LLC CRD: 44079 | CA | 0 | 17 | A | Active |
| BG Worldwide Securities, Inc. CRD: 121735 | CA | 0 | 2 | A | Active |
| Bill Parker Agency CRD: 6783 | CA | 3 | 2 | B | Active |
| Bivo Financial LLC CRD: 331283 | CA | 0 | 2 | A | Active |
| Blakeslee and Blakeslee Inc. CRD: 8149 | CA | 0 | 7 | A | Active |
| Blue Capay Ventures CRD: 331511 | CA | 0 | 1 | A | Active |
| Bluepath Capital LLC CRD: 307474 | CA | 0 | 2 | A | Active |
| Boursa Investments CRD: 152516 | CA | 0 | 2 | A | Active |
| Boustead Securities, LLC CRD: 141391 | CA | 2 | 2 | B | Active |
| Bridge Street Securities, LLC CRD: 152109 | CA | 0 | 2 | A | Active |
| Bridgewater James Limited, LLC CRD: 140205 | CA | 0 | 2 | A | Active |
| Brooklands Capital Strategies BD, LP CRD: 281951 | CA | 0 | 2 | A | Active |
| Btig, LLC CRD: 122225 | CA | 13 | 28 | C | Active |
| Builder Advisor Group, LLC CRD: 156515 | CA | 1 | 4 | B | Active |
| Cache Securities LLC CRD: 319607 | CA | 0 | 1 | A | Active |
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