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 |
|---|---|---|---|---|---|
| Neoteny 3 Management, LLC CRD: 187513 | - | 0 | 1 | - | Unknown |
| Neoteny Management, LLC CRD: 298066 | - | 0 | 1 | - | Unknown |
| Neotribe Management Company, LLC CRD: 288186 | - | 0 | 1 | - | Unknown |
| Neovest Trading CRD: 39798 | - | 4 | 0 | C | INACTIVE |
| Neowave Equity Fund, LLC CRD: 171767 | - | 0 | 0 | - | Unknown |
| Nepc, Inc. CRD: 19590 | - | 0 | 0 | A | INACTIVE |
| Nepc, LLC CRD: 110562 | - | 0 | 2 | - | Unknown |
| Nephila Advisors LLC CRD: 156905 | - | 0 | 1 | - | Unknown |
| Nephila Capital Ltd. CRD: 132780 | - | 0 | 0 | - | Unknown |
| Nepsis Advisor Services, Inc. CRD: 162340 | - | 0 | 0 | - | Unknown |
| Nepsis, Inc. CRD: 141203 | - | 0 | 8 | - | Unknown |
| Neptune LLC CRD: 104389 | - | 0 | 0 | A | INACTIVE |
| Neptune Securities Finance Corporation CRD: 44244 | - | 0 | 0 | A | INACTIVE |
| Neptune Wealth CRD: 329160 | - | 0 | 5 | - | Unknown |
| Neptune, LLC CRD: 35342 | - | 0 | 0 | A | INACTIVE |
| Nequit Wealth & Investment Management, LLC CRD: 286535 | - | 0 | 5 | - | Unknown |
| Nera Investments LLC CRD: 319304 | - | 0 | 1 | - | Unknown |
| Nerad + Deppe Wealth Management CRD: 151284 | - | 0 | 1 | - | Unknown |
| Nerat Capital, LLC CRD: 298218 | - | 0 | 1 | - | Unknown |
| Nerdwallet Advisory CRD: 325767 | - | 0 | 2 | - | Unknown |
| Nerdwallet Advisory, LLC CRD: 281485 | - | 0 | 0 | - | Unknown |
| Nerdwallet Wealth Partners, LLC CRD: 337328 | - | 0 | 1 | - | Unknown |
| Nereus Capital Partners, LP CRD: 294302 | - | 0 | 0 | - | Unknown |
| Nergard Wealth Management, LLC CRD: 335534 | - | 0 | 1 | - | Unknown |
| Nerium Capital LLC CRD: 313048 | - | 0 | 1 | - | Unknown |
| Nerv Management LLC CRD: 172097 | - | 0 | 0 | - | Unknown |
| Nery Asset Management, LLC CRD: 341394 | - | 0 | 1 | - | Unknown |
| Nesfield Capital Inc CRD: 116134 | - | 0 | 0 | A | INACTIVE |
| Neshaminy Creek Advisors CRD: 291848 | - | 0 | 1 | - | Unknown |
| Nesher, Inc. CRD: 21283 | - | 0 | 0 | A | INACTIVE |
| Nesst CRD: 292860 | - | 0 | 0 | - | Unknown |
| Nest Builder Financial Advisors CRD: 127560 | - | 0 | 0 | - | Unknown |
| Nest EGG CRD: 286024 | - | 0 | 2 | - | Unknown |
| Nest EGG Financial Advisors CRD: 297602 | - | 0 | 1 | - | Unknown |
| Nest Financial LLC CRD: 299307 | - | 0 | 1 | - | Unknown |
| Nest Financial Planning, LLC CRD: 317587 | - | 0 | 1 | - | Unknown |
| Nest Investments BD LLC CRD: 294417 | PA | 0 | 2 | A | Active |
| Nestana CRD: 297756 | - | 0 | 0 | - | Unknown |
| Nested Financial & TAX Planning CRD: 325083 | - | 0 | 1 | - | Unknown |
| Nested Interest LLC CRD: 158870 | - | 0 | 0 | - | Unknown |
| Nestegg CRD: 312437 | - | 0 | 0 | - | Unknown |
| Nestegg Advisors, Inc. CRD: 125878 | - | 0 | 1 | - | Unknown |
| Nestegg Advisory CRD: 161067 | - | 0 | 0 | - | Unknown |
| Nestegg Financial CRD: 128936 | - | 0 | 2 | - | Unknown |
| Nestegg Wealth CRD: 157719 | - | 0 | 0 | - | Unknown |
| Nestegg Wealth Advisors CRD: 284016 | - | 0 | 1 | - | Unknown |
| Nesteggs, Inc. CRD: 133507 | - | 0 | 7 | - | Unknown |
| Nestimate CRD: 330306 | - | 0 | 1 | - | Unknown |
| Nestlerode & LOY, Inc. CRD: 2907 | PA | 1 | 3 | B | Active |
| Nestvst CRD: 336825 | - | 0 | 1 | - | Unknown |