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 |
|---|---|---|---|---|---|
| NCB Investments, Inc. CRD: 113523 | - | 1 | 0 | B | INACTIVE |
| NCB Securities, LLC CRD: 145896 | - | 0 | 0 | A | INACTIVE |
| NCD Management I, LLC CRD: 304687 | - | 0 | 1 | - | Unknown |
| NCE Securities, Inc. CRD: 10079 | - | 0 | 0 | A | INACTIVE |
| NCF Financial Services, Inc. CRD: 120471 | - | 0 | 0 | A | INACTIVE |
| NCG Securities LLC CRD: 160481 | NJ | 1 | 2 | B | Active |
| NCGP LLC CRD: 322440 | - | 0 | 0 | - | Unknown |
| NCH Capital Inc. CRD: 157288 | - | 0 | 1 | - | Unknown |
| NCM Capital Advisers, Inc. CRD: 129734 | - | 0 | 0 | - | Unknown |
| NCM Capital Management Group Inc CRD: 105312 | - | 0 | 0 | - | Unknown |
| NCM Capital Management, LLC CRD: 151109 | - | 0 | 1 | - | Unknown |
| NCM Securities, Inc. CRD: 35186 | - | 0 | 0 | A | INACTIVE |
| NCMG LLC CRD: 317428 | NY | 0 | 2 | A | Active |
| NCN Management Company IV, LLC CRD: 321890 | - | 0 | 1 | - | Unknown |
| NCN Management Company PF, LLC CRD: 289601 | - | 0 | 1 | - | Unknown |
| NCNB SC Securities, Inc. CRD: 17347 | - | 0 | 0 | A | INACTIVE |
| NCNB Texas Securities, Inc. CRD: 16882 | - | 0 | 0 | A | INACTIVE |
| NCP Northland Capital Partners (USA) Inc. CRD: 154234 | - | 0 | 0 | A | INACTIVE |
| NCS Arbitrage Inc. CRD: 7571 | - | 0 | 0 | A | INACTIVE |
| NCT Advisors CRD: 169184 | - | 0 | 2 | - | Unknown |
| NCT Fund Management, LLC CRD: 163692 | - | 0 | 1 | - | Unknown |
| NCT GP I, LLC CRD: 163695 | - | 0 | 0 | - | Unknown |
| NCT GP II, LLC CRD: 170439 | - | 0 | 0 | - | Unknown |
| NCT GP Opportunity LLC CRD: 330837 | - | 0 | 0 | - | Unknown |
| NCU Investment Solutions CRD: 134804 | - | 0 | 3 | - | Unknown |
| NCW Advisors, LLC CRD: 172431 | - | 0 | 1 | - | Unknown |
| ND Capital, Inc. CRD: 23311 | - | 1 | 0 | B | INACTIVE |
| NDB Zephyr Partners Limited CRD: 175018 | - | 0 | 0 | - | Unknown |
| NDD Fund Manager LLC CRD: 328679 | - | 0 | 1 | - | Unknown |
| NDH Opportunity LLC CRD: 341426 | - | 0 | 0 | - | Unknown |
| NDI Management Company LLC CRD: 163848 | - | 0 | 0 | - | Unknown |
| Ndure Global LLC CRD: 327280 | - | 0 | 1 | - | Unknown |
| NDVR CRD: 310602 | - | 0 | 0 | - | Unknown |
| NDW Trading, L.L.C. CRD: 106675 | - | 0 | 0 | A | INACTIVE |
| NDX Trading, Inc. CRD: 39940 | - | 6 | 0 | D | INACTIVE |
| NEA Member Benefits CRD: 138196 | - | 0 | 1 | - | Unknown |
| Neaco Advisory, Inc. CRD: 123482 | - | 0 | 0 | - | Unknown |
| Neal & Neal Securities, Inc. CRD: 13392 | - | 0 | 0 | A | INACTIVE |
| Neal Advisors, LLC CRD: 148447 | - | 0 | 1 | - | Unknown |
| Neal Allen Pepper, PHD CRD: 107673 | - | 0 | 0 | - | Unknown |
| Neal Financial Group, L.P. CRD: 124112 | - | 0 | 6 | - | Unknown |
| Neal, Thomas E CRD: 33870 | - | 0 | 0 | A | INACTIVE |
| Neale Financial, LLC CRD: 153787 | - | 0 | 1 | - | Unknown |
| Nealson Investments, LLC CRD: 175127 | - | 0 | 0 | - | Unknown |
| Near Earth, LLC CRD: 126041 | CT | 0 | 2 | A | Active |
| Near North Financial CRD: 328123 | - | 0 | 0 | - | Unknown |
| Near North National Financial Services, Inc. CRD: 47608 | - | 0 | 0 | A | INACTIVE |
| Nearby Cactus CRD: 330260 | - | 0 | 0 | - | Unknown |
| Nearingpoint Venture Partners Inc. CRD: 340559 | - | 0 | 1 | - | Unknown |
| Nearpass Financial Counseling, Inc. CRD: 131842 | - | 0 | 0 | - | Unknown |