Broker-Dealer Firms
8 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 |
|---|---|---|---|---|---|
| AMS Brokerage Services LLC CRD: 335083 | LA | 0 | 2 | A | Active |
| Capital ONE Securities, Inc. CRD: 44158 | LA | 3 | 12 | C | Active |
| Chaffe Securities, Inc. CRD: 152172 | LA | 0 | 2 | A | Active |
| Hancock Whitney Investment Services Inc. CRD: 40637 | LA | 4 | 3 | B | Active |
| Harger and Company, Inc. CRD: 10385 | LA | 1 | 3 | B | Active |
| Johnson Rice & Company L.L.C. CRD: 19524 | LA | 9 | 2 | C | Active |
| Legacy Capital Fund, Inc. CRD: 39179 | LA | 0 | 2 | A | Active |
| Sisung Securities Corporation CRD: 25752 | LA | 2 | 3 | B | Active |