Broker-Dealer Firms
36 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| A.G. QUINTAL INVESTMENT COMPANY INC. CRD: 3115 | MA | 1 | 1 | F | Active |
| AERIS PARTNERS LLC CRD: 153862 | MA | 0 | 1 | A | Active |
| AGC PARTNERS CRD: 125958 | MA | 1 | 1 | F | Active |
| ALANTRA, LLC CRD: 22095 | MA | 0 | 1 | A | Active |
| BACK BAY LIFE SCIENCE ADVISORY, LLC CRD: 158846 | MA | 0 | 1 | A | Active |
| BFC CAPITAL LLC CRD: 299519 | MA | 0 | 1 | A | Active |
| BHA SELECT NETWORK, LLC CRD: 168883 | MA | 2 | 1 | F | Active |
| BML SECURITIES LLC CRD: 167535 | MA | 0 | 1 | A | Active |
| BOWEN, INC. CRD: 142930 | MA | 0 | 1 | A | Active |
| CAPSTONE PARTNERS CRD: 132185 | MA | 1 | 1 | F | Active |
| CBC SECURITIES, INC. CRD: 46153 | MA | 0 | 1 | A | Active |
| CCA CAPITAL LLC CRD: 154837 | MA | 0 | 1 | A | Active |
| COMMONWEALTH FINANCIAL NETWORK CRD: 8032 | MA | 45 | 1 | F | Active |
| CURTIS POINT CAPITAL CRD: 307399 | MA | 0 | 1 | A | Active |
| DUNN RUSH & CO. LLC CRD: 150769 | MA | 0 | 1 | A | Active |
| FIDELITY PRIME FINANCING CRD: 299736 | MA | 0 | 1 | A | Active |
| GARRETT NAGLE & CO., INC. CRD: 7071 | MA | 3 | 1 | F | Active |
| KAUFMAN & COMPANY, LLC CRD: 10924 | MA | 0 | 1 | A | Active |
| LEERINK PARTNERS LLC CRD: 39011 | MA | 6 | 1 | F | Active |
| LEVEL MARKETS, LLC CRD: 171752 | MA | 0 | 1 | A | Active |
| MONUMENT GROUP, INC. CRD: 36399 | MA | 0 | 1 | A | Active |
| MOORS & CABOT, INC. CRD: 594 | MA | 36 | 1 | F | Active |
| MORGAN PARTNERS LLC CRD: 164032 | MA | 0 | 1 | A | Active |
| N.E. PRIVATE CLIENT, LTD CRD: 136058 | MA | 0 | 1 | A | Active |
| NOLAN SECURITIES CORP. CRD: 27984 | MA | 4 | 1 | F | Active |
| OUTCOME CAPITAL, LLC CRD: 100960 | MA | 0 | 1 | A | Active |
| P G BOOLE, LLC CRD: 137920 | MA | 0 | 1 | A | Active |
| POWDER POINT FINANCIAL LLC CRD: 145199 | MA | 0 | 1 | A | Active |
| RACE ROCK CAPITAL LLC CRD: 153363 | MA | 0 | 1 | A | Active |
| SANTANDER SECURITIES LLC CRD: 41791 | MA | 19 | 1 | F | Active |
| SENTINEL SECURITIES, LLC. CRD: 110942 | MA | 1 | 1 | F | Active |
| SHASTA PARTNERS, LLC CRD: 124358 | MA | 0 | 1 | A | Active |
| SILVERWOOD PARTNERS CRD: 115589 | MA | 0 | 1 | A | Active |
| SS&C MARKET SERVICES, LLC CRD: 23568 | MA | 1 | 1 | F | Active |
| THE NEW PENFACS INC. CRD: 145584 | MA | 0 | 1 | A | Active |
| WFS, LLC CRD: 116778 | MA | 0 | 1 | A | Active |