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 York Capital Markets Inc. CRD: 19784 | - | 0 | 0 | A | INACTIVE |
| NEW York Capital Securities Corp. CRD: 18525 | - | 0 | 0 | A | INACTIVE |
| NEW York City Investment Fund Manager, Inc. CRD: 163343 | - | 0 | 1 | - | Unknown |
| NEW York FEE Simple, LLC CRD: 339748 | - | 0 | 1 | - | Unknown |
| NEW York Financial AVP, LLC CRD: 170047 | - | 0 | 1 | - | Unknown |
| NEW York Global Securities, Inc. CRD: 46429 | - | 2 | 0 | B | INACTIVE |
| NEW York IVY Capital Management LLC CRD: 322777 | - | 0 | 1 | - | Unknown |
| NEW York Life Investment Management LLC CRD: 109591 | - | 0 | 66 | - | Unknown |
| NEW York Securities Auction Corp. CRD: 25879 | - | 0 | 0 | A | INACTIVE |
| Newage Advisors LLC CRD: 226514 | - | 0 | 1 | - | Unknown |
| Newage Asset Management, Inc. CRD: 112274 | - | 0 | 0 | - | Unknown |
| Newalliance Investments, Inc. CRD: 126880 | - | 0 | 0 | A | INACTIVE |
| Newarc Investments, Inc. CRD: 122716 | - | 0 | 0 | - | Unknown |
| Newark Venture Partners CRD: 283302 | - | 0 | 1 | - | Unknown |
| Newaukum Wealth Management, LLC CRD: 143220 | - | 0 | 0 | - | Unknown |
| Neway Advisers, LLC CRD: 174426 | - | 0 | 0 | - | Unknown |
| Newberg Capital, Inc. CRD: 38050 | - | 0 | 0 | A | INACTIVE |
| Newberry & Associates, L.L.C. CRD: 120841 | - | 0 | 0 | - | Unknown |
| Newbird Management LLC CRD: 340782 | - | 0 | 1 | - | Unknown |
| Newbold's Asset Management, Inc CRD: 24166 | - | 0 | 0 | A | INACTIVE |
| Newbore Wealth Management, Inc. CRD: 306441 | - | 0 | 3 | - | Unknown |
| Newbound Ventures LLC CRD: 306906 | - | 0 | 0 | - | Unknown |
| Newbridge Retirement Advisors CRD: 163511 | - | 0 | 0 | - | Unknown |
| Newbridge Securities Corporation CRD: 104065 | FL | 37 | 34 | B | Active |
| Newbridge Wealth Management CRD: 169239 | - | 0 | 2 | - | Unknown |
| Newbrook Capital Advisors LP CRD: 138930 | - | 0 | 1 | - | Unknown |
| Newbrook Securities, LLC CRD: 45774 | - | 0 | 0 | A | INACTIVE |
| Newbuild VC Management, LLC CRD: 329923 | - | 0 | 1 | - | Unknown |
| Newburg Financial, LLC CRD: 288575 | - | 0 | 0 | - | Unknown |
| Newbury Capital Management, LLC CRD: 148516 | - | 0 | 2 | - | Unknown |
| Newbury Partners LLC CRD: 156319 | - | 0 | 0 | - | Unknown |
| Newbury Street Capital Limited Partnership CRD: 32240 | - | 2 | 0 | B | INACTIVE |
| Newbury Ventures CRD: 160567 | - | 0 | 0 | - | Unknown |
| Newbury, Piret Securities Inc. CRD: 10966 | - | 0 | 0 | A | INACTIVE |
| Newby & Company CRD: 26611 | - | 1 | 0 | B | INACTIVE |
| Newcap Partners, Inc. CRD: 25453 | - | 0 | 0 | A | INACTIVE |
| Newcastle Capital Management, L.P. CRD: 163502 | - | 0 | 0 | - | Unknown |
| Newcastle Distributors LLC CRD: 140096 | - | 0 | 0 | A | INACTIVE |
| Newcastle Financial Advisors CRD: 140471 | - | 0 | 0 | - | Unknown |
| Newcastle Securities, Inc. CRD: 14541 | - | 0 | 0 | A | INACTIVE |
| Newcoast Group Management LLC CRD: 317961 | - | 0 | 1 | - | Unknown |
| Newcomb and Company CRD: 16851 | - | 4 | 0 | C | INACTIVE |
| Newcomb Financial Advisors, LLC CRD: 155849 | - | 0 | 2 | - | Unknown |
| Newcorp Wealth Management CRD: 297125 | - | 0 | 1 | - | Unknown |
| Newcourt Securities, Ltd CRD: 103736 | - | 0 | 0 | A | INACTIVE |
| Newcrest Advisors, LLC CRD: 323185 | - | 0 | 0 | - | Unknown |
| Newcrest Capital Corporation CRD: 41294 | - | 0 | 0 | A | INACTIVE |
| Newcrestimage Investments, LLC CRD: 313068 | - | 0 | 1 | - | Unknown |
| Newday CRD: 174758 | - | 0 | 3 | - | Unknown |
| Newday Solutions, LLC CRD: 282163 | - | 0 | 0 | - | Unknown |