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 |
|---|---|---|---|---|---|
| Navolio & Tallman Advisors LLC CRD: 318582 | - | 0 | 3 | - | Unknown |
| Navpoint Financial, Inc. CRD: 109432 | - | 0 | 1 | - | Unknown |
| Navus Capital CRD: 322845 | - | 0 | 0 | - | Unknown |
| Navwell Advisors CRD: 328706 | - | 0 | 1 | - | Unknown |
| Navy Capital Green Management, LLC CRD: 299809 | - | 0 | 0 | - | Unknown |
| Navy Federal Asset Management, LLC CRD: 144244 | - | 0 | 0 | - | Unknown |
| Navy Federal Investment Services, LLC CRD: 138459 | VA | 0 | 234 | A | Active |
| Nawara Financial Advisors, Inc. CRD: 123709 | - | 0 | 0 | - | Unknown |
| Naworski Investments CRD: 114585 | - | 0 | 1 | - | Unknown |
| Naxicap Partners CRD: 317815 | - | 0 | 0 | - | Unknown |
| Naya Capital Management UK Limited CRD: 166159 | - | 0 | 0 | - | Unknown |
| Naya Global Management LLC CRD: 321275 | - | 0 | 0 | - | Unknown |
| Naya Management (Difc) Limited CRD: 337791 | - | 0 | 0 | - | Unknown |
| Naya Management SPV II CRD: 300718 | - | 0 | 1 | - | Unknown |
| Naya Ventures, LLC CRD: 290203 | - | 0 | 1 | - | Unknown |
| Nayana Investment Management LLC CRD: 339178 | - | 0 | 0 | - | Unknown |
| Naylor & Company CRD: 124924 | - | 0 | 3 | - | Unknown |
| Naylor Asset Management, LLC CRD: 179536 | - | 0 | 1 | - | Unknown |
| Naylor/Securities Inc. CRD: 13123 | - | 0 | 0 | A | INACTIVE |
| Nazelrod & Associates Financial Services, Inc. CRD: 121302 | - | 0 | 3 | - | Unknown |
| Nazmark, LLC CRD: 281509 | - | 0 | 0 | - | Unknown |
| NB Access GP, LLC CRD: 334613 | - | 0 | 1 | - | Unknown |
| NB Alternative Investment Management LLC CRD: 117035 | - | 0 | 0 | - | Unknown |
| NB Alternatives Advisers LLC CRD: 149822 | - | 0 | 1 | - | Unknown |
| NB Global Trading, LLC CRD: 143166 | - | 0 | 0 | A | INACTIVE |
| NB Wealth Management LLC CRD: 283016 | - | 0 | 0 | - | Unknown |
| Nbalance Financial CRD: 305841 | - | 0 | 0 | - | Unknown |
| NBC Capital Advisors CRD: 306483 | - | 0 | 4 | - | Unknown |
| NBC Capital Markets Group, Inc. CRD: 18229 | - | 6 | 0 | D | INACTIVE |
| NBC Financial, Inc. CRD: 46087 | - | 0 | 0 | A | INACTIVE |
| NBC International (USA) Ltd. CRD: 25701 | - | 0 | 0 | A | INACTIVE |
| NBC Pardners CRD: 281707 | - | 0 | 1 | - | Unknown |
| NBC Securities, Inc. CRD: 17870 | AL | 6 | 43 | B | Active |
| NBD Brokerage Services, Inc. CRD: 17020 | - | 0 | 0 | A | INACTIVE |
| NBD Securities, Inc. CRD: 17410 | - | 0 | 0 | A | INACTIVE |
| NBF Securities (USA) Corp. CRD: 25541 | - | 1 | 0 | B | INACTIVE |
| Nbgi Securities Inc. CRD: 104322 | - | 0 | 0 | A | INACTIVE |
| NBH Investment Management, LLC CRD: 139343 | - | 0 | 0 | - | Unknown |
| NBM Management, L.P. CRD: 172675 | - | 0 | 0 | - | Unknown |
| NBN Trading L.L.C. CRD: 44907 | - | 0 | 0 | A | INACTIVE |
| NBS Financial Services, Inc. CRD: 110600 | - | 0 | 0 | - | Unknown |
| NBT Capital Management, Inc. CRD: 104932 | - | 0 | 8 | - | Unknown |
| NBW Capital LLC CRD: 147306 | - | 0 | 1 | - | Unknown |
| NBZ Investment Advisors, LLC CRD: 123902 | - | 0 | 2 | - | Unknown |
| NC Management GMBH CRD: 329933 | - | 0 | 0 | - | Unknown |
| NC Money Management, Inc. CRD: 118754 | - | 0 | 2 | - | Unknown |
| NC Securities, LLC CRD: 141074 | MD | 0 | 2 | A | Active |
| NCA Financial Planners CRD: 120086 | - | 0 | 0 | - | Unknown |
| NCA Loan Investors, LLC CRD: 327937 | - | 0 | 1 | - | Unknown |
| Ncaf Management III, LLC CRD: 311015 | - | 0 | 1 | - | Unknown |