Broker-Dealer Firms
7 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 |
|---|---|---|---|---|---|
| Barrett & Company CRD: 1175 | RI | 17 | 3 | D | Active |
| Brown, Lisle/Cummings, Inc. CRD: 1331 | RI | 7 | 3 | C | Active |
| Citizens Securities, Inc. CRD: 39550 | RI | 22 | 1,046 | B | Active |
| Diversified Resources, LLC CRD: 31346 | RI | 0 | 3 | A | Active |
| Fidelity Brokerage Services LLC CRD: 7784 | RI | 152 | 739 | C | Active |
| Fidelity Distributors Company LLC CRD: 17507 | RI | 20 | 19 | C | Active |
| Gramercy Securities, Inc. CRD: 8177 | RI | 1 | 3 | B | Active |