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 |
|---|---|---|---|---|---|
| Nella Investment Adisers CRD: 181529 | - | 0 | 0 | - | Unknown |
| Nelles Financial Group Inc. CRD: 14719 | - | 0 | 0 | A | INACTIVE |
| Nellore Capital Management LLC CRD: 300467 | - | 0 | 1 | - | Unknown |
| Nelnet Capital LLC CRD: 104050 | - | 0 | 0 | A | INACTIVE |
| Nelson Financial Services CRD: 159342 | - | 0 | 0 | - | Unknown |
| Nelson Advisory Services, Inc. CRD: 337576 | - | 0 | 1 | - | Unknown |
| Nelson B. Trichler, Financial Planning Services CRD: 121664 | - | 0 | 0 | - | Unknown |
| Nelson Capital Advisors CRD: 307706 | - | 0 | 1 | - | Unknown |
| Nelson Capital Company CRD: 14664 | - | 1 | 0 | B | INACTIVE |
| Nelson Capital Management CRD: 123513 | - | 0 | 0 | - | Unknown |
| Nelson Capital Management, LLC CRD: 129776 | - | 0 | 1 | - | Unknown |
| Nelson Financial Management, LLC CRD: 158745 | - | 0 | 0 | - | Unknown |
| Nelson Financial Planning Services, LLC CRD: 120320 | - | 0 | 1 | - | Unknown |
| Nelson Financial Services CRD: 328297 | - | 0 | 1 | - | Unknown |
| Nelson Investment Company CRD: 134462 | - | 0 | 0 | - | Unknown |
| Nelson Investment Corporation CRD: 17638 | - | 0 | 0 | A | INACTIVE |
| Nelson Ivest Brokerage Services, Inc. CRD: 3002 | FL | 2 | 2 | B | Active |
| Nelson Securities,Inc. CRD: 14377 | WA | 1 | 6 | B | Active |
| Nelsonreid, Inc. CRD: 45503 | - | 4 | 0 | C | INACTIVE |
| Nelstone Ventures Advisors CRD: 291806 | - | 0 | 1 | - | Unknown |
| Neman Ventures LLC CRD: 330770 | - | 0 | 1 | - | Unknown |
| Nemcik & Co. Ltd. CRD: 34333 | - | 0 | 0 | A | INACTIVE |
| Nemelka Financial Services, Incorporated CRD: 16619 | - | 0 | 0 | A | INACTIVE |
| Nemetz Capital Corp. CRD: 10961 | - | 0 | 0 | A | INACTIVE |
| Nemo Capital CRD: 301309 | - | 0 | 1 | - | Unknown |
| NEO Asset Management Private Limited - Ifsc Branch CRD: 338380 | - | 0 | 0 | - | Unknown |
| NEO Capital Group LLC CRD: 145170 | - | 0 | 0 | - | Unknown |
| NEO Investment Counsel, LLC CRD: 309018 | - | 0 | 1 | - | Unknown |
| NEO Investment Partners LLP CRD: 168400 | - | 0 | 0 | - | Unknown |
| NEO IVY Capital Management, LLC CRD: 284999 | - | 0 | 1 | - | Unknown |
| NEO Ventures, LLC CRD: 294621 | - | 0 | 1 | - | Unknown |
| NEO-Criterion Capital Limited CRD: 282377 | - | 0 | 0 | - | Unknown |
| NEO-Strategies Marketing Alliances, Inc. CRD: 32098 | - | 0 | 0 | A | INACTIVE |
| Neocap, LLC CRD: 287684 | - | 0 | 0 | - | Unknown |
| Neocarta Ventures, Inc. CRD: 161856 | - | 0 | 0 | - | Unknown |
| Neoclassic Capital Management LP CRD: 332794 | - | 0 | 1 | - | Unknown |
| Neoka Securities, Inc. CRD: 17669 | - | 0 | 0 | A | INACTIVE |
| Neokai Capital CRD: 319006 | - | 0 | 1 | - | Unknown |
| Neoma Manager (Mauritius) Limited CRD: 300942 | - | 0 | 0 | - | Unknown |
| Neon Bright Management, LLC CRD: 330002 | - | 0 | 1 | - | Unknown |
| Neon Liberty Capital Management, LLC CRD: 139186 | - | 0 | 0 | - | Unknown |
| Neon Money IA, LLC CRD: 327699 | - | 0 | 0 | - | Unknown |
| Neon Money Incorporated CRD: 316896 | - | 0 | 0 | - | Unknown |
| Neonet Securities, Inc. CRD: 46938 | - | 5 | 0 | C | INACTIVE |
| Neorithmic, LLC CRD: 316718 | - | 0 | 1 | - | Unknown |
| Neos Investments CRD: 321256 | - | 0 | 1 | - | Unknown |
| Neos Partners, LP CRD: 323847 | - | 0 | 1 | - | Unknown |
| Neosho Advisors LLC CRD: 149869 | - | 0 | 0 | - | Unknown |
| Neosho Capital LLC CRD: 130779 | - | 0 | 0 | - | Unknown |
| Neosynthesis GP LLC CRD: 328335 | - | 0 | 1 | - | Unknown |