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 Salem Investment Corp. CRD: 32069 | - | 2 | 0 | B | INACTIVE |
| NEW Shore Financial LLC CRD: 301148 | - | 0 | 1 | - | Unknown |
| NEW Silk Road Investment PTE Ltd CRD: 159764 | - | 0 | 0 | - | Unknown |
| NEW Silk Route CRD: 161339 | - | 0 | 1 | - | Unknown |
| NEW Silver Lending LLC CRD: 324981 | - | 0 | 1 | - | Unknown |
| NEW South Securities, Inc. CRD: 6747 | - | 0 | 0 | A | INACTIVE |
| NEW Southern Advisory Services CRD: 158724 | - | 0 | 1 | - | Unknown |
| NEW Spring Financial Planning, LLC CRD: 164647 | - | 0 | 1 | - | Unknown |
| NEW Stack, LLC CRD: 317702 | - | 0 | 1 | - | Unknown |
| NEW State Capital Partners CRD: 170409 | - | 0 | 1 | - | Unknown |
| NEW Stream Financial Services CRD: 170896 | - | 0 | 0 | - | Unknown |
| NEW Street Advisors Group LLC CRD: 305687 | - | 0 | 2 | - | Unknown |
| NEW Street Investments L.P. CRD: 36329 | - | 0 | 0 | A | INACTIVE |
| NEW Street Research LLP CRD: 173721 | - | 0 | 0 | - | Unknown |
| NEW Street Securities Corporation CRD: 27064 | - | 0 | 0 | A | INACTIVE |
| NEW Summit Investments LLC CRD: 285219 | - | 0 | 0 | - | Unknown |
| NEW System Ventures Management, LP CRD: 335092 | - | 0 | 1 | - | Unknown |
| NEW Talents Financial Services Inc CRD: 340503 | - | 0 | 1 | - | Unknown |
| NEW Territory Advisors CRD: 305434 | - | 0 | 1 | - | Unknown |
| NEW Times Securities Services, Inc. CRD: 34154 | - | 7 | 0 | D | INACTIVE |
| NEW Trends Investment Club LLC CRD: 309723 | - | 0 | 0 | - | Unknown |
| NEW Trends Investment Club LLC CRD: 323484 | - | 0 | 0 | - | Unknown |
| NEW Venture Partners CRD: 162684 | - | 0 | 1 | - | Unknown |
| NEW Vernon Capital CRD: 160231 | - | 0 | 1 | - | Unknown |
| NEW Vernon Investment Management LLC CRD: 160247 | - | 0 | 1 | - | Unknown |
| NEW Vernon Securities, LLC CRD: 44308 | - | 6 | 0 | D | INACTIVE |
| NEW Vernon Wealth Management LLC CRD: 164775 | - | 0 | 1 | - | Unknown |
| NEW View Financial, LLC CRD: 299117 | - | 0 | 1 | - | Unknown |
| NEW View Wealth Advisory LLC CRD: 301243 | - | 0 | 0 | - | Unknown |
| NEW Vintage Partners LLC CRD: 327559 | - | 0 | 0 | - | Unknown |
| NEW Vista Investment Group, LLC CRD: 150740 | - | 0 | 0 | - | Unknown |
| NEW Voices Advisors, LLC CRD: 315832 | - | 0 | 1 | - | Unknown |
| NEW Water Capital, L.P. CRD: 226608 | - | 0 | 1 | - | Unknown |
| NEW Wave Capital Management LLC CRD: 288974 | - | 0 | 0 | - | Unknown |
| NEW Wave Capital, LLC CRD: 296975 | - | 0 | 0 | - | Unknown |
| NEW Wave Financial LLC CRD: 309444 | - | 0 | 3 | - | Unknown |
| NEW Wave Financial Services CRD: 173224 | - | 0 | 1 | - | Unknown |
| NEW Wave Loans Residential, LLC CRD: 326888 | - | 0 | 1 | - | Unknown |
| NEW Wave Wealth Advisors CRD: 323414 | - | 0 | 5 | - | Unknown |
| NEW WAY Advisers LLC CRD: 306167 | - | 0 | 0 | - | Unknown |
| NEW West Asset Management CRD: 335727 | - | 0 | 0 | - | Unknown |
| NEW West Investment Management, Inc. CRD: 117872 | - | 0 | 2 | - | Unknown |
| NEW Windsor Associates, L.P. CRD: 22977 | - | 0 | 0 | A | INACTIVE |
| NEW World Advisors LLC CRD: 296798 | - | 0 | 1 | - | Unknown |
| NEW World Financial, Inc. CRD: 47747 | - | 4 | 0 | C | INACTIVE |
| NEW World Partners (a-SPH), LLC CRD: 37712 | - | 0 | 0 | A | INACTIVE |
| NEW World Securities, Inc. CRD: 14694 | - | 4 | 0 | C | INACTIVE |
| NEW York & Foreign Securities Corporation CRD: 10652 | - | 0 | 0 | A | INACTIVE |
| NEW York Alaska ETF Management, LLC CRD: 173824 | - | 0 | 0 | - | Unknown |
| NEW York Broker, Inc. CRD: 25613 | - | 0 | 0 | A | INACTIVE |