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 |
|---|---|---|---|---|---|
| Nighthawk Management Group CRD: 328773 | - | 0 | 1 | - | Unknown |
| Nighthawk Partners Inc. CRD: 44134 | - | 1 | 0 | B | INACTIVE |
| Nightingale Advisors, LLC CRD: 293194 | - | 0 | 0 | - | Unknown |
| Nightingale Financial Advisory CRD: 137496 | - | 0 | 2 | - | Unknown |
| Nightview Capital, LLC CRD: 284183 | - | 0 | 1 | - | Unknown |
| Nightwatch Capital Advisors, LLC CRD: 125986 | - | 0 | 0 | - | Unknown |
| Nigido Mullin Investment Strategies, LLC CRD: 133384 | - | 0 | 2 | - | Unknown |
| Nihilator Trading L.L.C. CRD: 115275 | - | 0 | 0 | A | INACTIVE |
| Nihon Global Growth Partners Management, Inc. CRD: 311890 | - | 0 | 1 | - | Unknown |
| Nikko Alternative Asset Management, Inc. CRD: 824 | - | 20 | 1 | F | INACTIVE |
| Nikko Asset Management Hong Kong Limited CRD: 161467 | - | 0 | 0 | - | Unknown |
| Nikor Securities, Inc. CRD: 15577 | - | 0 | 0 | A | INACTIVE |
| Nikos Capital Management, LLC CRD: 336586 | - | 0 | 1 | - | Unknown |
| Nikulski Financial, Inc. CRD: 151569 | - | 0 | 1 | - | Unknown |
| Nilcorp Securities Company CRD: 16553 | - | 0 | 0 | A | INACTIVE |
| Nile Capital Group Holdings LLC CRD: 309115 | - | 0 | 1 | - | Unknown |
| Nile Capital Management LLC CRD: 151912 | - | 0 | 0 | - | Unknown |
| Nile Capital, LLC CRD: 122994 | - | 1 | 0 | B | INACTIVE |
| Niles Asset Management, Inc CRD: 107603 | - | 0 | 3 | - | Unknown |
| Niles Investment Management, LLC CRD: 329384 | - | 0 | 2 | - | Unknown |
| Nili Capital Management P.E., Ltd. CRD: 342802 | - | 0 | 0 | - | Unknown |
| Nilsine Partners, LLC CRD: 315694 | - | 0 | 2 | - | Unknown |
| Nilson-Newey & Co., Inc. CRD: 2922 | - | 0 | 0 | A | INACTIVE |
| Nilzon Capital CRD: 311722 | - | 0 | 0 | - | Unknown |
| NIM Wealth Solutions CRD: 334754 | - | 0 | 1 | - | Unknown |
| Nimble Investment Advisors LLC CRD: 118343 | - | 0 | 0 | - | Unknown |
| Nimble Venture Studio LLC CRD: 331547 | - | 0 | 1 | - | Unknown |
| Nimzo Capital LLC CRD: 166105 | - | 0 | 0 | - | Unknown |
| Nine Band Wealth Management LLC CRD: 311794 | - | 0 | 0 | - | Unknown |
| Nine Chapters Capital Management, LLC CRD: 165807 | - | 0 | 0 | - | Unknown |
| Nine Gates Capital, LLC CRD: 241792 | - | 0 | 0 | - | Unknown |
| Nine Gems Investment Management CRD: 311148 | - | 0 | 2 | - | Unknown |
| Nine Inning Finance CRD: 322214 | - | 0 | 1 | - | Unknown |
| Nine Left Capital LP CRD: 332838 | - | 0 | 1 | - | Unknown |
| Nine Masts Capital (Difc) Limited CRD: 339494 | - | 0 | 0 | - | Unknown |
| Nine Masts Capital Advisers LLC CRD: 322775 | - | 0 | 1 | - | Unknown |
| Nine Masts Capital Limited CRD: 162024 | - | 0 | 0 | - | Unknown |
| Nine Pines Ventures CRD: 330532 | - | 0 | 1 | - | Unknown |
| Nine Rivers Capital CRD: 175351 | - | 0 | 0 | - | Unknown |
| Nine TEN Capital Management CRD: 171420 | - | 0 | 2 | - | Unknown |
| Nine Thirty Capital Management, LLC CRD: 130545 | - | 0 | 1 | - | Unknown |
| Nine27 Capital Management, LP CRD: 306576 | - | 0 | 0 | - | Unknown |
| Nine30 Advisors LLC CRD: 326596 | - | 0 | 2 | - | Unknown |
| Ninealpha Capital LP CRD: 162966 | - | 0 | 0 | - | Unknown |
| Ninepoint Advisors CRD: 166190 | - | 0 | 0 | - | Unknown |
| Ninepoint Partners LP CRD: 289068 | - | 0 | 0 | - | Unknown |
| Ninepointtwo Capital LLC CRD: 297270 | - | 0 | 1 | - | Unknown |
| Ninesquare Capital Partners LLC CRD: 310376 | - | 0 | 0 | - | Unknown |
| Ninesquare Capital Partners LLC CRD: 284319 | - | 0 | 0 | - | Unknown |
| Ninety ONE Guernsey Limited CRD: 313638 | - | 0 | 0 | - | Unknown |