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 |
|---|---|---|---|---|---|
| Neuberger Berman Loan Advisers Europe II LP CRD: 337854 | - | 0 | 1 | - | Unknown |
| Neuberger Berman Loan Advisers II LLC CRD: 306601 | - | 0 | 1 | - | Unknown |
| Neuberger Berman Loan Advisers IV LLC CRD: 324282 | - | 0 | 1 | - | Unknown |
| Neuberger Berman Loan Advisers LLC CRD: 285579 | - | 0 | 1 | - | Unknown |
| Neuberger Berman Management LLC CRD: 5493 | - | 2 | 0 | B | INACTIVE |
| Neuberger Berman Singapore PTE. Limited CRD: 167947 | - | 0 | 0 | - | Unknown |
| Neuco Academy LLC CRD: 337820 | - | 0 | 1 | - | Unknown |
| Neuenschwander Asset Management, LLC CRD: 125179 | - | 0 | 1 | - | Unknown |
| Neuman Capital Management, Inc. CRD: 114606 | - | 0 | 0 | - | Unknown |
| Neumann Advisory Hong Kong Limited CRD: 284666 | - | 0 | 0 | - | Unknown |
| Neumann Capital Management CRD: 112182 | - | 0 | 1 | - | Unknown |
| Neumark Capital, LLC CRD: 226590 | - | 0 | 0 | - | Unknown |
| Neumeier Capital Management, Inc CRD: 115911 | - | 0 | 1 | - | Unknown |
| Neumeier Poma Investment Counsel LLC CRD: 110672 | - | 0 | 1 | - | Unknown |
| Neural Capital GP, LLC CRD: 296934 | - | 0 | 0 | - | Unknown |
| Neuravest Research Inc CRD: 312803 | - | 0 | 0 | - | Unknown |
| Neuroedge Investments, LLC CRD: 175318 | - | 0 | 0 | - | Unknown |
| Neuse River Capital, LLC CRD: 156343 | - | 0 | 1 | - | Unknown |
| Neutral Switch, Inc. CRD: 37648 | - | 2 | 0 | B | INACTIVE |
| Neuworld Financial CRD: 120547 | - | 0 | 0 | - | Unknown |
| Nevada Institute for Money Management CRD: 119261 | - | 0 | 0 | - | Unknown |
| Nevada Retirement Planners, LLC CRD: 147005 | - | 0 | 0 | - | Unknown |
| Nevada Retirement Planners, LLC CRD: 337989 | - | 0 | 1 | - | Unknown |
| Nevada RIA LLC CRD: 226586 | - | 0 | 0 | - | Unknown |
| Nevastar Finance Ltd CRD: 172523 | - | 0 | 0 | - | Unknown |
| Nevcaut Ventures Management Company, LLC CRD: 314448 | - | 0 | 1 | - | Unknown |
| Never Lift VC Management, L.P. CRD: 331353 | - | 0 | 1 | - | Unknown |
| Neville Point Ventures, LLC CRD: 308898 | - | 0 | 1 | - | Unknown |
| Neville Wealth Management CRD: 317543 | - | 0 | 2 | - | Unknown |
| Neville, Rodie & Shaw Inc CRD: 104969 | - | 0 | 1 | - | Unknown |
| Nevils Financial, LLC CRD: 137286 | - | 0 | 0 | - | Unknown |
| Nevis Advisory Services LLC CRD: 295162 | - | 0 | 0 | - | Unknown |
| Nevis Equity Advisors LLC CRD: 334396 | - | 0 | 1 | - | Unknown |
| Nevis Securities, LLC CRD: 127981 | - | 0 | 0 | A | INACTIVE |
| Nevo Management LLC CRD: 339040 | - | 0 | 1 | - | Unknown |
| Nevsky Capital LLP CRD: 161742 | - | 0 | 0 | - | Unknown |
| Nevwest Securities Corporation CRD: 46464 | - | 6 | 0 | C | INACTIVE |
| NEW 2ND Capital CRD: 292254 | - | 0 | 1 | - | Unknown |
| NEW AGE Alpha CRD: 299011 | - | 0 | 1 | - | Unknown |
| NEW AGE Capital Investors, LLC CRD: 324372 | - | 0 | 1 | - | Unknown |
| NEW AGE Financial Solutions LLC CRD: 170889 | - | 0 | 0 | - | Unknown |
| NEW Albany Capital Partners, LLC CRD: 144982 | - | 0 | 2 | - | Unknown |
| NEW Albion Partners LLC CRD: 119518 | - | 1 | 0 | B | INACTIVE |
| NEW Alchemy Capital Investment Manager LLC CRD: 310892 | - | 0 | 1 | - | Unknown |
| NEW Alliance Capital Markets, Inc. CRD: 37459 | - | 0 | 0 | A | INACTIVE |
| NEW Alliance Securities, Inc. CRD: 10212 | - | 0 | 0 | A | INACTIVE |
| NEW American Energy LLC CRD: 305384 | - | 0 | 0 | - | Unknown |
| NEW American Securities Corporation CRD: 15367 | - | 0 | 0 | A | INACTIVE |
| NEW Amsterdam Partners LLC CRD: 105462 | - | 0 | 0 | - | Unknown |
| NEW Amsterdam Wealth Planning CRD: 309962 | - | 0 | 1 | - | Unknown |