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 |
|---|---|---|---|---|---|
| Nichols Investment Advisory Services CRD: 128465 | - | 0 | 2 | - | Unknown |
| Nichols Investment Management CRD: 121108 | - | 0 | 1 | - | Unknown |
| Nichols Wealth Advisors CRD: 284400 | - | 0 | 2 | - | Unknown |
| Nichols, Safina, Lerner & Co. Inc. CRD: 35476 | - | 0 | 0 | A | INACTIVE |
| Nicholson Investments, Inc. CRD: 116649 | - | 0 | 0 | - | Unknown |
| Nicholson Meyer Capital Management, Inc. CRD: 105580 | - | 0 | 2 | - | Unknown |
| Nicholson Wealth Management Group CRD: 327001 | - | 0 | 1 | - | Unknown |
| Nick Pullaro CPA & Advisor LLC CRD: 327083 | - | 0 | 0 | - | Unknown |
| Nick WU Financial Planning LLC CRD: 327496 | - | 0 | 0 | - | Unknown |
| Nick, (III) James Francis CRD: 37362 | - | 0 | 0 | A | INACTIVE |
| Nickel Digital Asset Management Ltd CRD: 316708 | - | 0 | 0 | - | Unknown |
| Nickel Hayden Management, LLC CRD: 330364 | - | 0 | 1 | - | Unknown |
| Nickel Hayden, LP CRD: 324432 | - | 0 | 0 | - | Unknown |
| Nickel Investment Advisors, Inc. CRD: 139058 | - | 0 | 1 | - | Unknown |
| Nickelplate Financial LLC CRD: 284347 | - | 0 | 1 | - | Unknown |
| Nickles Investment Advisory CRD: 134389 | - | 0 | 0 | - | Unknown |
| Nickolas Gregory Pecora CRD: 10980 | - | 0 | 0 | A | INACTIVE |
| Nico Securities, LLC CRD: 133476 | - | 0 | 0 | A | INACTIVE |
| Nicodemus & Sherwood, Inc. CRD: 8514 | - | 0 | 0 | A | INACTIVE |
| Nicol Advisors Corporation CRD: 137206 | - | 0 | 0 | - | Unknown |
| Nicol Investors Corporation CRD: 123111 | - | 0 | 0 | A | INACTIVE |
| Nicola Wealth Management Ltd. CRD: 173201 | - | 0 | 0 | - | Unknown |
| Nicolet Capital Partners, LLC CRD: 164581 | - | 0 | 0 | - | Unknown |
| Nicolet Wealth Management CRD: 283940 | - | 0 | 20 | - | Unknown |
| Nicolette Financial Advisors LLC CRD: 146429 | - | 0 | 1 | - | Unknown |
| Nicollet Investment Management, Inc. CRD: 109401 | - | 0 | 1 | - | Unknown |
| Nicoya Capital LLC CRD: 168980 | - | 0 | 1 | - | Unknown |
| Nidhi Capital, LLC CRD: 157319 | - | 0 | 1 | - | Unknown |
| Nidhogg Capital Management, LLC CRD: 270004 | - | 0 | 0 | - | Unknown |
| Nielsen Capital Advisers LLC CRD: 318078 | - | 0 | 0 | - | Unknown |
| Nielsen Financial Management, Inc. CRD: 292570 | - | 0 | 0 | - | Unknown |
| Nielsen Financial Services, Inc. CRD: 117821 | - | 0 | 0 | - | Unknown |
| Nielson and Clark Inc. CRD: 13508 | - | 0 | 0 | A | INACTIVE |
| Niemann Analytics CRD: 131123 | - | 0 | 0 | - | Unknown |
| Niemann Capital Management Inc CRD: 106451 | - | 0 | 0 | - | Unknown |
| Niemann Investments LLC CRD: 316602 | - | 0 | 1 | - | Unknown |
| Nierenberg Investment Management Company, LLC CRD: 155416 | - | 0 | 1 | - | Unknown |
| Nies/Brauer Securities, Inc. CRD: 6707 | - | 0 | 0 | A | INACTIVE |
| Nieto and Associates, Inc. CRD: 17921 | - | 0 | 0 | A | INACTIVE |
| NIF Securities, Inc. CRD: 8530 | - | 0 | 0 | A | INACTIVE |
| Niggl Wealth Management, LLC CRD: 309305 | - | 0 | 0 | - | Unknown |
| Night OWL Capital Canada, LLC CRD: 338234 | - | 0 | 1 | - | Unknown |
| Night OWL Capital Management, LLC CRD: 106030 | - | 0 | 1 | - | Unknown |
| Night SKY Capital Management, LLC CRD: 135870 | - | 0 | 2 | - | Unknown |
| Night Square Capital Partners, LP CRD: 282837 | - | 0 | 0 | - | Unknown |
| Night Squared LP CRD: 333933 | - | 0 | 1 | - | Unknown |
| Night Ventures CRD: 326309 | - | 0 | 1 | - | Unknown |
| Nightdragon Management Company, LLC CRD: 310767 | - | 0 | 0 | - | Unknown |
| Nightgale Wealth Management LLC CRD: 338123 | - | 0 | 1 | - | Unknown |
| Nighthawk Capital Limited CRD: 169709 | - | 0 | 0 | - | Unknown |