Broker-Dealer Firms
80,028 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 |
|---|---|---|---|---|---|
| 3W Fund Management Limited CRD: 173724 | - | 0 | 0 | - | Unknown |
| 3W Fund Management LLC CRD: 173723 | - | 0 | 0 | - | Unknown |
| 3Wire Advisory LLC CRD: 325241 | DC | 0 | 3 | A | Active |
| 3Wire Investment CRD: 333234 | - | 0 | 1 | - | Unknown |
| 4 MI Yodea Ltd CRD: 318926 | - | 0 | 0 | - | Unknown |
| 4 Seasons Advisors CRD: 163219 | - | 0 | 2 | - | Unknown |
| 4 Star Advisory Services LLC CRD: 306362 | - | 0 | 1 | - | Unknown |
| 4 Your Corp CRD: 310704 | - | 0 | 0 | - | Unknown |
| 4-3-3 Capital LLC CRD: 337388 | - | 0 | 1 | - | Unknown |
| 4-C Personal Wealth Management Consultants, LLC CRD: 150201 | - | 0 | 2 | - | Unknown |
| 4/26 Retirement Income Planning & Wealth Managemen… CRD: 312258 | - | 0 | 1 | - | Unknown |
| 40 North Wealth LLC CRD: 335505 | - | 0 | 0 | - | Unknown |
| 40/86 Advisors, Inc. CRD: 107740 | - | 0 | 1 | - | Unknown |
| 400 Capital Management LLC CRD: 160089 | - | 0 | 1 | - | Unknown |
| 401 Financial CRD: 321902 | - | 0 | 1 | - | Unknown |
| 401(K) Investment Services, Inc. CRD: 31150 | - | 0 | 0 | A | INACTIVE |
| 401K Advisory Group, Inc. CRD: 152290 | - | 0 | 1 | - | Unknown |
| 401K Alliance CRD: 140439 | - | 0 | 0 | - | Unknown |
| 401K and More CRD: 284178 | - | 0 | 1 | - | Unknown |
| 401K Assist, LLC CRD: 289562 | - | 0 | 1 | - | Unknown |
| 401K Engineers Inc. CRD: 309129 | - | 0 | 1 | - | Unknown |
| 401K Generation CRD: 154279 | - | 0 | 2 | - | Unknown |
| 401K GPS CRD: 169877 | - | 0 | 0 | - | Unknown |
| 401K Investment Professionals CRD: 282495 | - | 0 | 2 | - | Unknown |
| 401K Masters, LLC CRD: 174735 | - | 0 | 0 | - | Unknown |
| 401K Millionaire LLC CRD: 288420 | - | 0 | 0 | - | Unknown |
| 401K Tune-UP CRD: 161376 | - | 0 | 0 | - | Unknown |
| 401Karat CRD: 305825 | - | 0 | 1 | - | Unknown |
| 401Klogic LLC CRD: 326629 | - | 0 | 1 | - | Unknown |
| 401Klub Advisors, LLC CRD: 325464 | - | 0 | 0 | - | Unknown |
| 401Ksleuth LLC CRD: 289510 | - | 0 | 0 | - | Unknown |
| 401MAX CRD: 284355 | - | 0 | 0 | - | Unknown |
| 402 Capital LLC CRD: 163384 | - | 0 | 0 | - | Unknown |
| 402 Financial CRD: 331726 | - | 0 | 1 | - | Unknown |
| 403B Solutions, LLC CRD: 307428 | - | 0 | 0 | - | Unknown |
| 406 Financial CRD: 297888 | - | 0 | 0 | - | Unknown |
| 406 PM CRD: 339835 | - | 0 | 1 | - | Unknown |
| 406 Ventures Management, LLC CRD: 162914 | - | 0 | 1 | - | Unknown |
| 412 Venture Management, LLC CRD: 332114 | - | 0 | 1 | - | Unknown |
| 414 Investments LLC CRD: 315483 | - | 0 | 1 | - | Unknown |
| 415X Growth Management LLC CRD: 319166 | - | 0 | 0 | - | Unknown |
| 4170 Securities LLC CRD: 326718 | IL | 0 | 1 | A | Active |
| 42 AM, LLC CRD: 339735 | - | 0 | 1 | - | Unknown |
| 424 Capital, LLC CRD: 167462 | - | 0 | 1 | - | Unknown |
| 425 Mason GP, LLC CRD: 306922 | - | 0 | 0 | - | Unknown |
| 43 Management LLC CRD: 314953 | - | 0 | 1 | - | Unknown |
| 4387 Capital Management LLC CRD: 283455 | - | 0 | 1 | - | Unknown |
| 44 North Capital, LLC CRD: 327552 | - | 0 | 1 | - | Unknown |
| 44 Securities, Inc. CRD: 8223 | - | 0 | 0 | A | INACTIVE |
| 44 Securities, Ltd CRD: 15139 | - | 0 | 0 | A | INACTIVE |