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 |
|---|---|---|---|---|---|
| NLA Financial Advisors CRD: 122715 | - | 0 | 0 | - | Unknown |
| NLBS Advisers, Inc. CRD: 18364 | - | 1 | 0 | B | INACTIVE |
| NLC Capital Manco Limited CRD: 337345 | - | 0 | 0 | - | Unknown |
| NLG Capital, Inc. CRD: 109396 | - | 0 | 1 | - | Unknown |
| NLRK LLC DBA Newbean Capital LLC CRD: 170423 | - | 0 | 1 | - | Unknown |
| NM Greenberg Financial, LLC CRD: 125845 | - | 0 | 0 | - | Unknown |
| NM Wealth Management, LLC CRD: 159098 | - | 0 | 0 | - | Unknown |
| NMBL.VC, LLC CRD: 322071 | - | 0 | 1 | - | Unknown |
| NMG Capital Group CRD: 282596 | - | 0 | 0 | - | Unknown |
| NMP Capital, LLC CRD: 111138 | - | 3 | 0 | C | INACTIVE |
| NMS Capital Asset Management, Inc. CRD: 149678 | - | 0 | 0 | - | Unknown |
| NMS Capital Securities, LLC CRD: 107401 | - | 0 | 0 | A | INACTIVE |
| NMS Capital Services, LLC CRD: 158140 | - | 0 | 1 | - | Unknown |
| NN Investment Advisory, LLC CRD: 332240 | - | 0 | 1 | - | Unknown |
| NN Investment Partners North America LLC CRD: 165092 | - | 0 | 0 | - | Unknown |
| NNV Management, LLC CRD: 324123 | - | 0 | 1 | - | Unknown |
| NO B.S. Advising CRD: 302013 | - | 0 | 0 | - | Unknown |
| NO BS Investing LLC CRD: 174059 | - | 0 | 0 | - | Unknown |
| NO Bull Financial Consulting CRD: 297049 | - | 0 | 0 | - | Unknown |
| NO Coast Financial Group CRD: 324971 | - | 0 | 1 | - | Unknown |
| NO Limit Investments, LP CRD: 114179 | - | 0 | 0 | A | INACTIVE |
| NO Longer Investment Advisor 203(B)(3) CRD: 160926 | - | 0 | 0 | - | Unknown |
| NO Other Primary Business Name CRD: 120371 | - | 0 | 1 | - | Unknown |
| NO Street GP LP CRD: 299240 | - | 0 | 1 | - | Unknown |
| NO-Load Asset Management CRD: 136309 | - | 0 | 2 | - | Unknown |
| Noah Advisory LLC CRD: 288007 | - | 0 | 0 | - | Unknown |
| Noah Investment Management, LLC CRD: 159132 | - | 0 | 2 | - | Unknown |
| Noarko Securities Corporation CRD: 16490 | - | 0 | 0 | A | INACTIVE |
| Nobadeer Capital Management, LLC CRD: 141170 | - | 0 | 0 | - | Unknown |
| Nobil-Novick Securities Corporation CRD: 16224 | - | 0 | 0 | A | INACTIVE |
| Noble Advisors, LLC CRD: 149796 | - | 0 | 1 | - | Unknown |
| Noble Advisory Group LLC CRD: 282307 | - | 0 | 1 | - | Unknown |
| Noble Capital Advisors, LP CRD: 284227 | - | 0 | 0 | - | Unknown |
| Noble Capital Fund Management PE, LLC CRD: 299142 | - | 0 | 1 | - | Unknown |
| Noble Capital Management CRD: 281207 | - | 0 | 0 | - | Unknown |
| Noble Capital Management, Inc. CRD: 112938 | - | 0 | 4 | - | Unknown |
| Noble Capital Markets, Inc. CRD: 15768 | FL | 20 | 5 | C | Active |
| Noble Equity Advisors II LLC CRD: 342539 | - | 0 | 1 | - | Unknown |
| Noble Equity Capital Management II LLC. CRD: 342543 | - | 0 | 1 | - | Unknown |
| Noble Family Wealth CRD: 315152 | - | 0 | 4 | - | Unknown |
| Noble Financial Advisors LLC CRD: 164830 | - | 0 | 1 | - | Unknown |
| Noble Financial Advisory, Inc CRD: 120855 | - | 0 | 0 | - | Unknown |
| Noble Financial Corporation CRD: 20818 | - | 0 | 0 | A | INACTIVE |
| Noble Hill Planning LLC CRD: 316497 | - | 0 | 2 | - | Unknown |
| Noble Investors LLC CRD: 325722 | - | 0 | 1 | - | Unknown |
| Noble Path Asset Management LP CRD: 306377 | - | 0 | 0 | - | Unknown |
| Noble Pillar Capital Ltd CRD: 342309 | - | 0 | 1 | - | Unknown |
| Noble Resources, Inc. CRD: 19978 | - | 0 | 0 | A | INACTIVE |
| Noble Securities Co. CRD: 7066 | - | 0 | 0 | A | INACTIVE |
| Noble Street CRD: 284404 | - | 0 | 0 | - | Unknown |