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 |
|---|---|---|---|---|---|
| Nearside Advisors, LLC CRD: 341851 | - | 0 | 1 | - | Unknown |
| Neary, Francis M CPA CRD: 124754 | - | 0 | 1 | - | Unknown |
| Neat Financial Planning CRD: 328302 | - | 0 | 1 | - | Unknown |
| Nebari Partners, LLC CRD: 295859 | - | 0 | 1 | - | Unknown |
| Nebkota Financial Services,LLC CRD: 151877 | - | 0 | 0 | - | Unknown |
| Nebraska Hudson Company, Inc. CRD: 27501 | - | 18 | 0 | D | INACTIVE |
| Nebrodi Partners, LLC CRD: 174280 | - | 0 | 1 | - | Unknown |
| Nebs Financial Services, Inc. CRD: 103874 | - | 1 | 0 | B | INACTIVE |
| Nebs Financial Services, Inc. CRD: 47925 | - | 0 | 0 | A | INACTIVE |
| Nebula Capital Management CRD: 155086 | - | 0 | 0 | - | Unknown |
| Nebula Research & Development LLC CRD: 305128 | - | 0 | 0 | - | Unknown |
| Nebular Management, LLC CRD: 325162 | - | 0 | 1 | - | Unknown |
| Necessary Ventures LLC CRD: 310456 | - | 0 | 1 | - | Unknown |
| Nectarine CRD: 327155 | - | 0 | 33 | - | Unknown |
| NED Davis Research, Inc. CRD: 112260 | - | 0 | 6 | - | Unknown |
| Nederland Securities Corporation CRD: 7572 | - | 0 | 0 | A | INACTIVE |
| Nederveld Capital Management, LLC CRD: 123695 | - | 0 | 0 | - | Unknown |
| Nedza Financial Advisors, LLC CRD: 164757 | - | 0 | 0 | - | Unknown |
| Needelman Asset Management Inc CRD: 110329 | - | 0 | 0 | - | Unknown |
| Needham & Company, LLC CRD: 16360 | NY | 27 | 11 | D | Active |
| Needham Advisory Corporation CRD: 105378 | - | 0 | 2 | - | Unknown |
| Needham Capital Management, LLC CRD: 163073 | - | 0 | 0 | - | Unknown |
| Needham Investment Management, LLC CRD: 106783 | - | 0 | 1 | - | Unknown |
| Needville Insurance Agency Inc CRD: 322817 | - | 0 | 1 | - | Unknown |
| Neel JAY Pass & Associates, Inc. CRD: 17083 | - | 0 | 0 | A | INACTIVE |
| Neev Finance CRD: 338066 | - | 0 | 1 | - | Unknown |
| Neff Capital Advisors LLC CRD: 335886 | - | 0 | 0 | - | Unknown |
| Nefpg CRD: 105254 | - | 0 | 2 | - | Unknown |
| Negron-Ramos LLC CRD: 317171 | - | 0 | 0 | - | Unknown |
| Negron-Ramos LLC CRD: 332437 | - | 0 | 1 | - | Unknown |
| NEI Securities Corporation CRD: 22108 | - | 0 | 0 | A | INACTIVE |
| Neibor Asset Management, Inc. CRD: 164605 | - | 0 | 0 | - | Unknown |
| Neider Securities Corporation CRD: 8257 | - | 0 | 0 | A | INACTIVE |
| Neie Discount Brokerage Services CRD: 13426 | - | 0 | 0 | A | INACTIVE |
| Neighborly Investments CRD: 290141 | - | 0 | 0 | - | Unknown |
| Neighborly Securities CRD: 17686 | - | 1 | 0 | B | INACTIVE |
| Neil a RUE, CFA Investment Advisor CRD: 331048 | - | 0 | 1 | - | Unknown |
| Neil E. Burns, LLC CRD: 283180 | - | 0 | 1 | - | Unknown |
| Neil Jesani Wealth Management CRD: 322345 | - | 0 | 2 | - | Unknown |
| Neil Lubarsky and Co., Inc. CRD: 15736 | - | 0 | 0 | A | INACTIVE |
| Neil Stewart Advisors, LLC CRD: 149055 | - | 0 | 0 | - | Unknown |
| Neiman & Associates Financial Services, LLC CRD: 123641 | - | 0 | 2 | - | Unknown |
| Neiman Funds Management LLC CRD: 151749 | - | 0 | 1 | - | Unknown |
| Neiman Wealth Management, LLC CRD: 128662 | - | 0 | 0 | - | Unknown |
| Neirg Wealth Management, LLC CRD: 317032 | - | 0 | 0 | - | Unknown |
| NEK Financial Inc CRD: 325331 | - | 0 | 1 | - | Unknown |
| Nektar Asset Management AB CRD: 285509 | - | 0 | 0 | - | Unknown |
| Nektar Asset Management LLP CRD: 288158 | - | 0 | 0 | - | Unknown |
| Nekton Capital Limited CRD: 316663 | - | 0 | 0 | - | Unknown |
| Nelkin Capital Management, Inc. CRD: 19779 | - | 1 | 0 | B | INACTIVE |