Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Ledger Capital Markets, LLC CRD: 289140 | NY | 0 | 3 | A | Active |
| Leigh Baldwin & Co., LLC CRD: 38751 | NY | 5 | 34 | B | Active |
| Leonis Securities, LLC CRD: 284307 | NY | 0 | 2 | A | Active |
| Lesko Securities Inc. CRD: 10091 | NY | 2 | 5 | B | Active |
| Liberty Associates, Inc. CRD: 15071 | NY | 3 | 1 | C | Active |
| Lifemark Securities Corp. CRD: 16204 | NY | 5 | 158 | B | Active |
| Lifesci Capital CRD: 168404 | NY | 1 | 10 | B | Active |
| Light Horse Securities, Inc CRD: 120242 | NY | 2 | 2 | B | Active |
| Lime Trading Corp CRD: 11826 | NY | 4 | 2 | B | Active |
| Linqto Capital CRD: 314557 | NY | 0 | 2 | A | Active |
| Liontree Advisors LLC CRD: 164399 | NY | 0 | 3 | A | Active |
| Liquidly IAS, LLC CRD: 299963 | NY | 0 | 1 | A | Active |
| Liquidnet, Inc. CRD: 103987 | NY | 11 | 2 | D | Active |
| Livermore Trading Group, Inc. CRD: 32968 | NY | 2 | 1 | B | Active |
| Livingston Securities, LLC CRD: 147364 | NY | 0 | 2 | A | Active |
| Lloyds Securities CRD: 154515 | NY | 0 | 2 | A | Active |
| LMV Capital Corp. CRD: 148745 | NY | 0 | 2 | A | Active |
| Lockton RE Capital Markets, LLC CRD: 323110 | NY | 0 | 2 | A | Active |
| Lockwood Securities LLC CRD: 169735 | NY | 0 | 2 | A | Active |
| Longship Alternative Asset Management CRD: 126798 | NY | 0 | 2 | A | Active |
| LPS Capital LLC CRD: 155246 | NY | 1 | 5 | B | Active |
| LSH Partners Securities LLC CRD: 284952 | NY | 0 | 2 | A | Active |
| Lucid Capital Markets, LLC CRD: 140345 | NY | 1 | 7 | B | Active |
| Luma Securities LLC CRD: 157803 | NY | 0 | 2 | A | Active |
| M.D. Sass Securities, L.L.C. CRD: 139760 | NY | 1 | 2 | B | Active |
| Macquarie Capital (USA) Inc. CRD: 36368 | NY | 5 | 18 | C | Active |
| Macro Risk Advisors LLC CRD: 148143 | NY | 1 | 2 | B | Active |
| Madison Global Partners LLC CRD: 285406 | NY | 2 | 3 | B | Active |
| Magen Financial LLC CRD: 305174 | NY | 0 | 2 | A | Active |
| Magstar Capital, LLC CRD: 297559 | NY | 0 | 2 | A | Active |
| MAN Investments Inc. CRD: 15770 | NY | 3 | 5 | B | Active |
| Manning & Napier Investor Services, Inc. CRD: 26266 | NY | 0 | 5 | A | Active |
| Manorhaven Capital LLC CRD: 44965 | NY | 0 | 3 | A | Active |
| Marco Polo Securities LLC CRD: 46561 | NY | 0 | 2 | A | Active |
| Marex Capital Markets Inc. CRD: 161014 | NY | 42 | 11 | D | Active |
| Market Securities, LLC CRD: 283701 | NY | 0 | 2 | A | Active |
| Marketaxess Corporation CRD: 44542 | NY | 1 | 2 | C | Active |
| Marv Capital Inc. CRD: 104390 | NY | 0 | 2 | A | Active |
| Maxim Group LLC CRD: 120708 | NY | 37 | 7 | F | Active |
| MAY Capital Group, L.L.C. CRD: 37081 | NY | 0 | 2 | A | Active |
| Mcap LLC CRD: 139515 | NY | 4 | 4 | B | Active |
| Mcdonnaugh Securities LLC CRD: 290233 | NY | 0 | 2 | A | Active |
| MCM Securities LLC CRD: 41571 | NY | 1 | 2 | B | Active |
| MCP Securities, LLC CRD: 152669 | NY | 0 | 2 | A | Active |
| MCS Capital Markets LLC CRD: 151337 | NY | 0 | 2 | A | Active |
| MD Global Partners, LLC CRD: 140988 | NY | 3 | 2 | B | Active |
| Mediobanca Securities USA LLC CRD: 143189 | NY | 0 | 2 | A | Active |
| Mercer Allied Company, L.P. CRD: 37404 | NY | 0 | 11 | A | Active |
| Meridian Equity Partners, Inc. CRD: 133849 | NY | 2 | 2 | B | Active |
| Metlife Investors Distribution Company CRD: 107622 | NY | 1 | 50 | B | Active |