Broker-Dealer Firms
5 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 |
|---|---|---|---|---|---|
| LPL ENTERPRISE, LLC CRD: 8733 | SC | 3 | 1 | F | Active |
| LPL FINANCIAL LLC CRD: 6413 | SC | 284 | 1 | F | Active |
| PALMETTO ADVISORY GROUP, LLC CRD: 150270 | SC | 0 | 1 | A | Active |
| POLARIS PRIVATE PLACEMENTS, LLC CRD: 288104 | SC | 0 | 1 | A | Active |
| TRC MARKETS LLC CRD: 171272 | SC | 0 | 1 | A | Active |