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 |
|---|---|---|---|---|---|
| Aria Wealth Partners CRD: 334270 | - | 0 | 1 | - | Unknown |
| Ariadne Capital, LLC CRD: 147932 | - | 0 | 0 | - | Unknown |
| Ariadne Wealth Advisors CRD: 173544 | - | 0 | 0 | - | Unknown |
| Ariadne Wealth Management, LP CRD: 170999 | - | 0 | 1 | - | Unknown |
| Arias Resource Capital Management LP CRD: 155885 | - | 0 | 1 | - | Unknown |
| Ariel Alternatives, LLC CRD: 314178 | - | 0 | 1 | - | Unknown |
| Ariel Distributors, LLC CRD: 38333 | IL | 1 | 4 | B | Active |
| Ariel Equities, Inc. CRD: 19249 | - | 0 | 0 | A | INACTIVE |
| Ariel Investments, LLC CRD: 108211 | - | 0 | 3 | - | Unknown |
| Ariel Krishun, LLC CRD: 283760 | - | 0 | 0 | - | Unknown |
| Aries Capital MGMT LLC CRD: 292837 | - | 0 | 0 | - | Unknown |
| Aries Financial Navigators, Inc. CRD: 301218 | - | 0 | 1 | - | Unknown |
| Aries Investment Advisors, LLC CRD: 152137 | - | 0 | 2 | - | Unknown |
| Aries Investments, LLC CRD: 333704 | - | 0 | 1 | - | Unknown |
| Aries Wealth Management, LLC CRD: 175477 | - | 0 | 1 | - | Unknown |
| Arimathea CRD: 330140 | - | 0 | 4 | - | Unknown |
| Arin Risk Advisors LLC CRD: 151491 | - | 0 | 2 | - | Unknown |
| Arini Capital Management (ME) Limited CRD: 339289 | - | 0 | 0 | - | Unknown |
| Arini Capital Management US LLC CRD: 331263 | - | 0 | 1 | - | Unknown |
| Arion Wealth Management LLC CRD: 341104 | - | 0 | 1 | - | Unknown |
| Aris Alpha LLC CRD: 335361 | - | 0 | 1 | - | Unknown |
| Aris Fund I CRD: 336618 | - | 0 | 1 | - | Unknown |
| Aris Investing CRD: 325320 | - | 0 | 2 | - | Unknown |
| Aris Management, LLC CRD: 317315 | - | 0 | 1 | - | Unknown |
| Arisaig Partners (Asia) PTE Ltd CRD: 162362 | - | 0 | 0 | - | Unknown |
| Arise Wealth Management, LLC CRD: 148595 | - | 0 | 0 | - | Unknown |
| Arista Advisory Group, LLC CRD: 285722 | - | 0 | 2 | - | Unknown |
| Arista Consulting Group CRD: 292330 | - | 0 | 0 | - | Unknown |
| Arista Real Estate Manager, LLC CRD: 329810 | - | 0 | 1 | - | Unknown |
| Arista Wealth Advisors, Ltd CRD: 107763 | - | 0 | 0 | - | Unknown |
| Arista Wealth Management, LLC CRD: 141504 | - | 0 | 7 | - | Unknown |
| Aristar Capital Management, LLC CRD: 175412 | - | 0 | 0 | - | Unknown |
| Aristeia Capital, LLC CRD: 135986 | - | 0 | 1 | - | Unknown |
| Aristeia Trading, L.L.C. CRD: 43543 | - | 0 | 0 | A | INACTIVE |
| Aristide Partners LLC CRD: 293186 | - | 0 | 1 | - | Unknown |
| Aristides Capital LLC CRD: 162368 | - | 0 | 1 | - | Unknown |
| Aristo Advisors LLC CRD: 170696 | - | 0 | 1 | - | Unknown |
| Aristo Investments of America, Inc. CRD: 1098 | - | 0 | 0 | A | INACTIVE |
| Ariston Advisors LLC CRD: 131811 | - | 0 | 1 | - | Unknown |
| Ariston Capital Management Corp CRD: 105086 | - | 0 | 2 | - | Unknown |
| Ariston Services Group, LLC CRD: 146255 | - | 0 | 1 | - | Unknown |
| Aristos Ventures Management LLC CRD: 171712 | - | 0 | 1 | - | Unknown |
| Aristotle Atlantic Partners, LLC CRD: 285721 | - | 0 | 4 | - | Unknown |
| Aristotle Capital Boston, LLC CRD: 173198 | - | 0 | 1 | - | Unknown |
| Aristotle Capital Management, LLC CRD: 109876 | - | 0 | 9 | - | Unknown |
| Aristotle Investors, Inc. CRD: 156706 | - | 0 | 0 | - | Unknown |
| Aristotle Pacific CLO Adviser III, LLC CRD: 339520 | - | 0 | 1 | - | Unknown |
| Aritas Securities LLC CRD: 128453 | - | 2 | 0 | B | INACTIVE |
| Arive Capital Markets CRD: 8060 | - | 3 | 0 | C | INACTIVE |
| Arixa Management, LLC CRD: 336603 | - | 0 | 1 | - | Unknown |