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 |
|---|---|---|---|---|---|
| Arizona Mortgage & Investments, LLC, an Arizona Li… CRD: 309900 | - | 0 | 0 | - | Unknown |
| Arizona Retirement Engineer, LLC CRD: 327078 | - | 0 | 0 | - | Unknown |
| Arizona Sunbelt Equities, Inc. CRD: 18011 | - | 0 | 0 | A | INACTIVE |
| Arizona Wealth Advisors, LLC CRD: 139348 | - | 0 | 0 | - | Unknown |
| Arizona Wealth Strategies LLC CRD: 338071 | - | 0 | 1 | - | Unknown |
| Arjent Capital Markets LLC CRD: 143865 | - | 3 | 0 | C | INACTIVE |
| Arjent Ltd. CRD: 35909 | - | 6 | 0 | D | INACTIVE |
| Arjuna Capital, LLC CRD: 283713 | - | 0 | 4 | - | Unknown |
| ARK Advisors LLC CRD: 167456 | - | 0 | 1 | - | Unknown |
| ARK Advisors, LLC CRD: 133687 | - | 0 | 2 | - | Unknown |
| ARK Alliance Financial LLC CRD: 310539 | - | 0 | 3 | - | Unknown |
| ARK Financial Advisors, LLC CRD: 287588 | - | 0 | 0 | - | Unknown |
| ARK Financial Services, LLC CRD: 118257 | - | 0 | 0 | - | Unknown |
| ARK Funds Distributors, LLC CRD: 17685 | - | 1 | 0 | B | INACTIVE |
| ARK Global, LLC CRD: 172684 | NY | 0 | 2 | A | Active |
| ARK Invest CRD: 169525 | - | 0 | 1 | - | Unknown |
| ARK Investment Advisors CRD: 288874 | - | 0 | 0 | - | Unknown |
| ARK Investment Group Holdings LLC CRD: 299348 | - | 0 | 0 | - | Unknown |
| ARK Investment Partners GP LLC CRD: 163127 | - | 0 | 0 | - | Unknown |
| ARK Investments CRD: 10613 | - | 0 | 0 | A | INACTIVE |
| ARK Royal Wealth Management LLC CRD: 175151 | - | 0 | 1 | - | Unknown |
| ARK Securities Co., Inc. CRD: 28314 | - | 1 | 0 | B | INACTIVE |
| ARK Securities LLC CRD: 246787 | CA | 0 | 3 | A | Active |
| ARK Wealth Advisors, LLC CRD: 309396 | - | 0 | 1 | - | Unknown |
| ARK Wealth Management CRD: 317264 | - | 0 | 4 | - | Unknown |
| Arka Capital A.M. Ltd CRD: 339997 | - | 0 | 0 | - | Unknown |
| Arka Financial Services L.L.C. CRD: 326568 | - | 0 | 2 | - | Unknown |
| Arka Venture Labs Fund Management, LLC CRD: 322698 | - | 0 | 1 | - | Unknown |
| Arka Venture Labs Fund Partners, L.L.C. CRD: 304167 | - | 0 | 1 | - | Unknown |
| Arkadia Asset Management AG CRD: 305428 | - | 0 | 0 | - | Unknown |
| Arkadios Capital CRD: 282710 | GA | 2 | 89 | B | Active |
| Arkadios Wealth Advisors CRD: 288863 | - | 0 | 191 | - | Unknown |
| Arkagos Advisors & Asset Management, Inc. CRD: 315366 | - | 0 | 2 | - | Unknown |
| Arkane Management LLC CRD: 338358 | - | 0 | 1 | - | Unknown |
| Arkansas Equity Securities, Inc. CRD: 17992 | - | 0 | 0 | A | INACTIVE |
| Arkap Markets, LLC CRD: 326313 | GA | 0 | 4 | A | Active |
| Arkay Ventures CRD: 311732 | - | 0 | 1 | - | Unknown |
| Arkell Asset Management, LLC CRD: 159418 | - | 0 | 1 | - | Unknown |
| Arkenstone Financial, LLC CRD: 153530 | - | 0 | 4 | - | Unknown |
| Arkenstone LLP CRD: 307061 | - | 0 | 0 | - | Unknown |
| Arkfeld Wealth Strategies, L.L.C. CRD: 293175 | - | 0 | 1 | - | Unknown |
| Arkhe Wealth Management CRD: 337491 | - | 0 | 2 | - | Unknown |
| Arkhouse CRD: 325180 | - | 0 | 1 | - | Unknown |
| Arkikosa Capital CRD: 316514 | - | 0 | 0 | - | Unknown |
| Arkin Financial Advisors, LLC CRD: 166313 | - | 0 | 2 | - | Unknown |
| Arkoma Management Co. CRD: 10714 | - | 0 | 0 | A | INACTIVE |
| Arkonis Capital LLC CRD: 147798 | NY | 0 | 2 | A | Active |
| Arkos Global Advisors, LLC CRD: 287466 | - | 0 | 5 | - | Unknown |
| Arkview Capital, L.P. CRD: 316130 | - | 0 | 1 | - | Unknown |
| Arlen Capital, LLC CRD: 118113 | - | 0 | 1 | - | Unknown |