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 |
|---|---|---|---|---|---|
| Newspace Capital GP S.A. CRD: 324685 | - | 0 | 0 | - | Unknown |
| Newspring Capital CRD: 160608 | - | 0 | 1 | - | Unknown |
| Newsquare Capital, LLC CRD: 152430 | - | 0 | 1 | - | Unknown |
| Newstar Capital LLC CRD: 137523 | - | 0 | 0 | - | Unknown |
| Newstarasset Capital Inc CRD: 340108 | - | 0 | 1 | - | Unknown |
| Newstead Capital Management CRD: 333245 | - | 0 | 1 | - | Unknown |
| Newstone Capital Partners, LLC CRD: 161068 | - | 0 | 1 | - | Unknown |
| Newton Investment Management Ltd CRD: 111208 | - | 0 | 0 | - | Unknown |
| Newton Investment Management North America CRD: 312937 | - | 0 | 1 | - | Unknown |
| Newton Todd Company, Inc. CRD: 3593 | - | 0 | 0 | A | INACTIVE |
| Newtonian Trading, LLC CRD: 113613 | - | 1 | 0 | B | INACTIVE |
| Newtopia VC CRD: 333396 | - | 0 | 0 | - | Unknown |
| Newtown Partners CRD: 319314 | - | 0 | 1 | - | Unknown |
| Newtown Wealth Management Inc. CRD: 145744 | - | 0 | 0 | - | Unknown |
| Newtyn Management, LLC CRD: 161156 | - | 0 | 1 | - | Unknown |
| Newvale Capital LLC CRD: 328660 | - | 0 | 1 | - | Unknown |
| Newvest Management, LP CRD: 316841 | - | 0 | 1 | - | Unknown |
| Newview Capital Management, LLC CRD: 298161 | - | 0 | 1 | - | Unknown |
| Newworld Capital Group, LLC CRD: 164046 | - | 0 | 0 | - | Unknown |
| NEX Cubed Investment Management, LLC CRD: 325381 | - | 0 | 1 | - | Unknown |
| Nexa Equity LLC CRD: 317201 | - | 0 | 1 | - | Unknown |
| Nexa Securities CRD: 15621 | - | 3 | 0 | C | INACTIVE |
| Nexadvisors, LLC CRD: 317477 | - | 0 | 1 | - | Unknown |
| Nexannuity Asset Management, L.P. CRD: 309748 | - | 0 | 1 | - | Unknown |
| Nexbank Securities Inc CRD: 133267 | TX | 2 | 2 | B | Active |
| Nexbridge Capital Markets LLC CRD: 45631 | - | 0 | 0 | A | INACTIVE |
| Nexcore Capital, Inc. CRD: 31893 | - | 3 | 0 | C | INACTIVE |
| Nexera Technologies Ltd. CRD: 341065 | - | 0 | 1 | - | Unknown |
| Nexgen Capital Advisors, LLC CRD: 132855 | - | 1 | 0 | B | INACTIVE |
| Nexgen Investments LLC CRD: 322604 | - | 0 | 1 | - | Unknown |
| Nexit Ventures Inc CRD: 163514 | - | 0 | 0 | - | Unknown |
| Nexity Financial Services, Inc. CRD: 144048 | - | 0 | 0 | A | INACTIVE |
| Nexjenn Financial Services CRD: 305454 | - | 0 | 1 | - | Unknown |
| Nexphase Capital, LP CRD: 281893 | - | 0 | 1 | - | Unknown |
| Nexpoint Advisors, L.P. CRD: 163564 | - | 0 | 1 | - | Unknown |
| Nexpoint Asset Management, L.P. CRD: 149653 | - | 0 | 1 | - | Unknown |
| Nexpoint Insurance Solutions, L.P. CRD: 301997 | - | 0 | 1 | - | Unknown |
| Nexpoint Real Estate Advisors II, L.P. CRD: 290079 | - | 0 | 0 | - | Unknown |
| Nexpoint Real Estate Advisors VII, L.P. CRD: 305956 | - | 0 | 1 | - | Unknown |
| Nexpoint Real Estate Advisors X, L.P. CRD: 317203 | - | 0 | 1 | - | Unknown |
| Nexpoint Securities, Inc. CRD: 165013 | TX | 1 | 2 | B | Active |
| Nexquant Exchange Ltd CRD: 339753 | - | 0 | 1 | - | Unknown |
| Next Adventure Financial LLC CRD: 327945 | - | 0 | 1 | - | Unknown |
| Next Advisors Inc. CRD: 14612 | - | 4 | 0 | C | INACTIVE |
| Next Advisors Securities CRD: 39282 | - | 1 | 0 | B | INACTIVE |
| Next Alpha Capital, LLC CRD: 285858 | - | 0 | 1 | - | Unknown |
| Next Billion Capital Partners CRD: 329912 | - | 0 | 1 | - | Unknown |
| Next Bloom Wealth CRD: 322155 | - | 0 | 1 | - | Unknown |
| Next Capital Management LLC CRD: 110793 | - | 0 | 6 | - | Unknown |
| Next Century Growth Investors LLC CRD: 108978 | - | 0 | 1 | - | Unknown |