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 |
|---|---|---|---|---|---|
| Ninety ONE Luxembourg S.A. CRD: 284886 | - | 0 | 0 | - | Unknown |
| Ninety ONE North America, Inc. CRD: 167922 | - | 0 | 1 | - | Unknown |
| Ninety ONE UK Limited CRD: 158310 | - | 0 | 0 | - | Unknown |
| Ninety West Global Wealth CRD: 300614 | - | 0 | 1 | - | Unknown |
| Ninja Wealth Advisors, LLC CRD: 331447 | - | 0 | 1 | - | Unknown |
| Nintai Investments LLC CRD: 299278 | - | 0 | 2 | - | Unknown |
| Ninth Avenue Capital, LP CRD: 337730 | - | 0 | 1 | - | Unknown |
| Ninth Eternity Asset Management LLC CRD: 306985 | - | 0 | 1 | - | Unknown |
| Ninth Eternity Securities LLC CRD: 307492 | NY | 0 | 2 | A | Active |
| Niobrara Capital Partners CRD: 332070 | - | 0 | 1 | - | Unknown |
| Niphix Investments Inc. CRD: 39378 | - | 1 | 0 | B | INACTIVE |
| Nippon Investment Company CRD: 298803 | - | 0 | 0 | - | Unknown |
| Nippon Life Global Investors Americas, Inc. CRD: 156244 | - | 0 | 1 | - | Unknown |
| Nippon Life India Asset Management (Singapore) PTE… CRD: 162918 | - | 0 | 0 | - | Unknown |
| Nippon Sangyo Suishin Kiko Ltd CRD: 340624 | - | 0 | 0 | - | Unknown |
| Nippon Value Investors CRD: 140500 | - | 0 | 0 | - | Unknown |
| Nipun Capital, L.P. CRD: 159752 | - | 0 | 1 | - | Unknown |
| Niremia Collective Management, LLC CRD: 317440 | - | 0 | 1 | - | Unknown |
| Niro Nivesto LLC CRD: 336777 | - | 0 | 1 | - | Unknown |
| Nirvana Analytics, LLC CRD: 148341 | - | 0 | 1 | - | Unknown |
| Nirvana Capital Management LLC CRD: 329150 | - | 0 | 1 | - | Unknown |
| Nisa Investment Advisors, LLC CRD: 107313 | - | 0 | 2 | - | Unknown |
| Nish Capital Investment Advisors LLP CRD: 315223 | - | 0 | 0 | - | Unknown |
| Nishkama Capital LLC CRD: 170322 | - | 0 | 1 | - | Unknown |
| Nisiotis, Michael CRD: 311793 | - | 0 | 1 | - | Unknown |
| Nisman Investment Services Inc. CRD: 121837 | - | 0 | 2 | - | Unknown |
| Nisonoff & Quadrel Investment Management LLC CRD: 328905 | - | 0 | 2 | - | Unknown |
| Nissay Asset Management Corporation CRD: 113623 | - | 0 | 0 | - | Unknown |
| Nissim Investment Group LLC CRD: 157951 | - | 0 | 0 | - | Unknown |
| Nitestar Capital Management CRD: 304757 | - | 0 | 0 | - | Unknown |
| Nitka, Benjamin S. CRD: 33793 | - | 3 | 0 | C | INACTIVE |
| Nitor Capital Management CRD: 173067 | - | 0 | 1 | - | Unknown |
| Nitorum Capital, L.P. CRD: 173617 | - | 0 | 1 | - | Unknown |
| Nitrogen Fund Managers CRD: 300449 | - | 0 | 0 | - | Unknown |
| Nitrogen Fund Managers CRD: 333929 | - | 0 | 0 | - | Unknown |
| Nium, Inc. CRD: 309973 | - | 0 | 0 | - | Unknown |
| NIV Asset Management LLC CRD: 288937 | - | 0 | 0 | - | Unknown |
| Nivale Capital Management CRD: 341398 | - | 0 | 1 | - | Unknown |
| NIX Securities Company CRD: 10303 | - | 0 | 0 | A | INACTIVE |
| NIX Wealth Management CRD: 114091 | - | 0 | 2 | - | Unknown |
| Nixon Capital LLC CRD: 148061 | - | 0 | 1 | - | Unknown |
| Nixon Peabody Financial Advisors LLC CRD: 117232 | - | 0 | 0 | - | Unknown |
| Niya Partners Inc. CRD: 327203 | - | 0 | 0 | - | Unknown |
| NJ Capital Management CRD: 339457 | - | 0 | 2 | - | Unknown |
| NJK Wealth Management CRD: 338352 | - | 0 | 1 | - | Unknown |
| NJM Vencap LLC CRD: 310625 | - | 0 | 1 | - | Unknown |
| Njord Capital, LLC CRD: 334540 | - | 0 | 1 | - | Unknown |
| NJP Ventures LLC CRD: 317926 | - | 0 | 1 | - | Unknown |
| NK Capital LLC CRD: 318615 | - | 0 | 1 | - | Unknown |
| NKM Labs, LLC CRD: 311444 | - | 0 | 1 | - | Unknown |