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 |
|---|---|---|---|---|---|
| Ngen MGT II, LLC CRD: 161794 | - | 0 | 0 | - | Unknown |
| NGL Financial CRD: 299866 | - | 0 | 0 | - | Unknown |
| NGM Asset Management, LLC CRD: 311312 | - | 0 | 0 | - | Unknown |
| NGN Capital LLC CRD: 162938 | - | 0 | 1 | - | Unknown |
| NGP CRD: 160729 | - | 0 | 1 | - | Unknown |
| NGP Energy Technology Partners CRD: 158228 | - | 0 | 0 | - | Unknown |
| NGP Financial Planning, LLC CRD: 310443 | - | 0 | 1 | - | Unknown |
| NGP Management Co. OY CRD: 330826 | - | 0 | 0 | - | Unknown |
| NH Investment & Securities America, Inc. CRD: 30660 | NY | 1 | 2 | B | Active |
| Nhabla CRD: 313311 | - | 0 | 2 | - | Unknown |
| NHC Investment Advisors, LLC CRD: 141864 | - | 0 | 0 | - | Unknown |
| Nhci IV UG (Haftungsbeschraenkt) & Co. KG CRD: 342351 | - | 0 | 0 | - | Unknown |
| Nhcohen Capital LLC CRD: 171914 | - | 0 | 0 | A | INACTIVE |
| NHL Securities, Inc. CRD: 16011 | - | 0 | 0 | A | INACTIVE |
| NHN Nexus Partners, LLC CRD: 336594 | CA | 0 | 2 | A | Active |
| NHP Real Estate Securities, Inc. CRD: 11207 | - | 0 | 0 | A | INACTIVE |
| NHS GP, LLC CRD: 165986 | - | 0 | 0 | - | Unknown |
| NHS GP, LLC CRD: 311365 | - | 0 | 1 | - | Unknown |
| NI Advisors CRD: 134502 | CA | 1 | 17 | B | Active |
| NI Securities Corp. CRD: 30444 | - | 3 | 0 | C | INACTIVE |
| NIA Impact Capital CRD: 286587 | - | 0 | 4 | - | Unknown |
| Niagara Securities, Inc. CRD: 26160 | - | 0 | 0 | A | INACTIVE |
| Niam AB CRD: 161236 | - | 0 | 0 | - | Unknown |
| Niatross Investments Limited CRD: 289600 | - | 0 | 0 | - | Unknown |
| Nibc Bank N.V. CRD: 298601 | - | 0 | 0 | - | Unknown |
| Nibc Credit Management, Inc. CRD: 133401 | - | 0 | 0 | - | Unknown |
| Nibley Financial LLC CRD: 330332 | - | 0 | 1 | - | Unknown |
| NIC Management LLC CRD: 156106 | - | 0 | 0 | - | Unknown |
| Nice Harbour (GP) II Limited CRD: 163004 | - | 0 | 0 | - | Unknown |
| Nich Capital Partners, Inc. CRD: 159260 | - | 0 | 1 | - | Unknown |
| Niche Capital LLC CRD: 283157 | - | 0 | 1 | - | Unknown |
| Niche Investment Advisors LLC CRD: 311014 | - | 0 | 1 | - | Unknown |
| Niche Registered Investment Advisory Services, LLC CRD: 151904 | - | 0 | 0 | - | Unknown |
| Nichol Capital Advisors, LLC CRD: 316794 | - | 0 | 1 | - | Unknown |
| Nicholas Advisors Securities Corporation CRD: 17075 | - | 0 | 0 | A | INACTIVE |
| Nicholas Co Inc CRD: 108347 | - | 0 | 1 | - | Unknown |
| Nicholas Gregory Pecora CRD: 15572 | - | 0 | 0 | A | INACTIVE |
| Nicholas Hoffman & Company, LLC CRD: 144516 | - | 0 | 6 | - | Unknown |
| Nicholas Investment Partners, L.P. CRD: 140159 | - | 0 | 1 | - | Unknown |
| Nicholas Ventimiglio, Cdfa CRD: 150854 | - | 0 | 0 | - | Unknown |
| Nicholas Wealth Management CRD: 282635 | - | 0 | 1 | - | Unknown |
| Nicholas, Lawrence & Co. Inc. CRD: 17482 | - | 0 | 0 | A | INACTIVE |
| Nicholas-Applegate Securities LLC CRD: 31205 | - | 0 | 0 | A | INACTIVE |
| Nichole Wischoff, LLC CRD: 331671 | - | 0 | 1 | - | Unknown |
| Nichols & Grow,Inc. CRD: 10978 | - | 0 | 0 | A | INACTIVE |
| Nichols & Pratt Advisers LLP CRD: 107113 | - | 0 | 1 | - | Unknown |
| Nichols Asset Management LLC CRD: 111749 | - | 0 | 0 | - | Unknown |
| Nichols Financial CRD: 292901 | - | 0 | 0 | - | Unknown |
| Nichols Group LLC CRD: 134513 | - | 0 | 2 | - | Unknown |
| Nichols Investment Advisors CRD: 126011 | - | 0 | 0 | - | Unknown |