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 |
|---|---|---|---|---|---|
| NEW Horizons Wealth Management CRD: 328155 | - | 0 | 1 | - | Unknown |
| NEW Hyde Park Asset Management LLC CRD: 329242 | - | 0 | 3 | - | Unknown |
| NEW Industrial Partners LLC CRD: 342425 | - | 0 | 1 | - | Unknown |
| NEW Information Limited CRD: 168049 | - | 0 | 0 | - | Unknown |
| NEW Insight Wealth Advisors CRD: 318083 | - | 0 | 1 | - | Unknown |
| NEW Investor World Incorporated CRD: 109356 | - | 0 | 0 | A | INACTIVE |
| NEW JAM Financial Strategists, LLC CRD: 133631 | - | 0 | 1 | - | Unknown |
| NEW Japan Securities International Inc. CRD: 3557 | - | 7 | 0 | D | INACTIVE |
| NEW Lantern Advisors CRD: 318948 | - | 0 | 0 | - | Unknown |
| NEW Leaf Capital, LLC CRD: 160602 | - | 0 | 0 | - | Unknown |
| NEW Leaf Financial Planning CRD: 289953 | - | 0 | 0 | - | Unknown |
| NEW Leaf Venture Partners CRD: 163897 | - | 0 | 1 | - | Unknown |
| NEW Legacy Financial Group, LLC CRD: 151155 | - | 0 | 1 | - | Unknown |
| NEW Legacy Group, LLC CRD: 160969 | - | 0 | 1 | - | Unknown |
| NEW Life Financial LLC CRD: 289821 | - | 0 | 2 | - | Unknown |
| NEW Light Financial CRD: 325546 | - | 0 | 1 | - | Unknown |
| NEW Line Capital, LLC CRD: 143677 | - | 0 | 3 | - | Unknown |
| NEW London Capital, Inc. CRD: 32594 | - | 0 | 0 | A | INACTIVE |
| NEW Majority Capital Management LLC CRD: 334552 | - | 0 | 1 | - | Unknown |
| NEW Manhattan Corporation CRD: 13362 | - | 0 | 0 | A | INACTIVE |
| NEW Market Wealth Management, LLC CRD: 171031 | - | 0 | 0 | - | Unknown |
| NEW Markets Venture Partners CRD: 163508 | - | 0 | 1 | - | Unknown |
| NEW Millennium Asset Management, Inc. CRD: 143465 | - | 0 | 1 | - | Unknown |
| NEW Millennium Group CRD: 299249 | - | 0 | 7 | - | Unknown |
| NEW Model Investment Company, LLC CRD: 288996 | - | 0 | 0 | - | Unknown |
| NEW Mountain Capital, LLC CRD: 161394 | - | 0 | 1 | - | Unknown |
| NEW Mountain Credit CLO Advisers, L.L.C. CRD: 307111 | - | 0 | 1 | - | Unknown |
| NEW Mountain Finance Advisers, L.L.C. CRD: 155493 | - | 0 | 1 | - | Unknown |
| NEW Mountain Finance Corporation CRD: 171546 | - | 0 | 0 | - | Unknown |
| NEW Mountain Vantage Advisers, L.L.C. CRD: 147545 | - | 0 | 0 | - | Unknown |
| NEW Observer Capital Management, LLC CRD: 117535 | - | 0 | 2 | - | Unknown |
| NEW Ocean Capital Management Limited CRD: 282037 | - | 0 | 0 | - | Unknown |
| NEW Outlook Financial, LLC CRD: 145967 | - | 0 | 0 | - | Unknown |
| NEW Paradigm Wealth Advisory CRD: 332369 | - | 0 | 1 | - | Unknown |
| NEW Paragon, LLC CRD: 110039 | - | 0 | 0 | - | Unknown |
| NEW Path Capital Advisors CRD: 145041 | - | 0 | 0 | - | Unknown |
| NEW Peak Capital Partners, LLP CRD: 165804 | - | 0 | 0 | - | Unknown |
| NEW Perspective Wealth Management CRD: 314562 | - | 0 | 1 | - | Unknown |
| NEW Perspectives, Inc. CRD: 113925 | - | 0 | 2 | - | Unknown |
| NEW Phase Financial CRD: 316248 | - | 0 | 1 | - | Unknown |
| NEW Pinnacle Capital, LLC CRD: 168992 | - | 0 | 0 | - | Unknown |
| NEW Potomac Partners LLC CRD: 170061 | - | 0 | 0 | - | Unknown |
| NEW Providence Asset Management L.P. CRD: 137727 | - | 0 | 0 | - | Unknown |
| NEW Republic Partners CRD: 310907 | - | 0 | 4 | - | Unknown |
| NEW Rhein Healthcare Investors LLC CRD: 300842 | - | 0 | 1 | - | Unknown |
| NEW River Capital Management LP CRD: 172855 | - | 0 | 0 | - | Unknown |
| NEW River Investments CRD: 157173 | - | 0 | 2 | - | Unknown |
| NEW Rome Capital CRD: 275027 | - | 0 | 0 | - | Unknown |
| NEW RYE Securities, LLC CRD: 165400 | - | 0 | 0 | A | INACTIVE |
| NEW Salem Investment Capital, LLC CRD: 139969 | - | 0 | 0 | A | INACTIVE |