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 |
|---|---|---|---|---|---|
| Nollenberger Mccullough Investment Advisors LLC CRD: 165451 | - | 0 | 1 | - | Unknown |
| Nomad CRD: 307764 | - | 0 | 1 | - | Unknown |
| Nomad Capital Group, LLC CRD: 172639 | - | 0 | 1 | - | Unknown |
| Nomad Capital, LLC CRD: 311190 | - | 0 | 0 | - | Unknown |
| Nomad Financial CRD: 322552 | - | 0 | 1 | - | Unknown |
| Nomad Investment Services CRD: 324105 | FL | 0 | 3 | A | Active |
| Nomad Venture Partners, LLC CRD: 316236 | - | 0 | 1 | - | Unknown |
| Nomadic Value Partners CRD: 322633 | - | 0 | 2 | - | Unknown |
| Nomadic Wealth CRD: 324614 | - | 0 | 1 | - | Unknown |
| Nomi Capital LLC CRD: 334285 | - | 0 | 1 | - | Unknown |
| Nomo Ventures Management, LLC CRD: 287733 | - | 0 | 1 | - | Unknown |
| Nomura Asset Management Co., Ltd. CRD: 110814 | - | 0 | 0 | - | Unknown |
| Nomura Asset Management Hong Kong Limited CRD: 108226 | - | 0 | 0 | - | Unknown |
| Nomura Asset Management Singapore Limited CRD: 110813 | - | 0 | 0 | - | Unknown |
| Nomura Asset Management U.K. Limited CRD: 110815 | - | 0 | 0 | - | Unknown |
| Nomura Asset Management U.S.A. Inc. CRD: 108222 | - | 0 | 1 | - | Unknown |
| Nomura Capital Management LLC CRD: 324417 | - | 0 | 1 | - | Unknown |
| Nomura Corporate Research and Asset Management Inc CRD: 110411 | - | 0 | 1 | - | Unknown |
| Nomura Global Alpha LLC CRD: 147302 | - | 0 | 0 | - | Unknown |
| Nomura Greentech Capital Advisors, LLC CRD: 149644 | - | 0 | 0 | A | INACTIVE |
| Nomura Investment Management Business Trust CRD: 105390 | - | 0 | 60 | - | Unknown |
| Nomura Securities International, Inc. CRD: 4297 | NY | 83 | 126 | C | Active |
| Nomura Securities North America, LLC CRD: 42885 | - | 2 | 0 | B | INACTIVE |
| NON Sibi Ventures, LLC CRD: 318573 | - | 0 | 1 | - | Unknown |
| NON-Profit Financial Corporation of America CRD: 18431 | - | 0 | 0 | A | INACTIVE |
| NON-Traditional Wealth Management, LLC CRD: 151362 | - | 0 | 2 | - | Unknown |
| Nonantum Capital Partners CRD: 293803 | - | 0 | 1 | - | Unknown |
| None CRD: 124698 | - | 0 | 2 | - | Unknown |
| None CRD: 133860 | - | 0 | 1 | - | Unknown |
| Nonesuch Advisors CRD: 169247 | - | 0 | 1 | - | Unknown |
| Noon Investment Management LLC CRD: 327870 | - | 0 | 1 | - | Unknown |
| Noonan Trading LLC CRD: 124702 | - | 0 | 0 | A | INACTIVE |
| Nooney Securities Inc. CRD: 14164 | - | 0 | 0 | A | INACTIVE |
| Noor Financial Services CRD: 338683 | - | 0 | 1 | - | Unknown |
| Noordzee Capital LLC CRD: 332664 | - | 0 | 1 | - | Unknown |
| Noorvest CRD: 325403 | - | 0 | 2 | - | Unknown |
| Noosphere Ventures Management Company, LLC CRD: 173287 | - | 0 | 1 | - | Unknown |
| Nor'easter Venture Management, LLC CRD: 322032 | - | 0 | 1 | - | Unknown |
| Nora Wealth CRD: 285098 | - | 0 | 1 | - | Unknown |
| Noram Securities, Inc. CRD: 16921 | - | 0 | 0 | A | INACTIVE |
| Noramerivest, Inc. CRD: 14910 | - | 0 | 0 | A | INACTIVE |
| Norbay Securities Inc. CRD: 5431 | - | 0 | 0 | A | INACTIVE |
| Norberg Capital Management, LLC CRD: 287668 | - | 0 | 1 | - | Unknown |
| Norbert Associates, Inc. CRD: 2925 | - | 6 | 0 | D | INACTIVE |
| Norbury Partners LP CRD: 310042 | - | 0 | 0 | - | Unknown |
| Norcap Investment Management, L.P. CRD: 132975 | - | 0 | 1 | - | Unknown |
| Norcap Securities, Inc. CRD: 15200 | - | 0 | 0 | A | INACTIVE |
| Norcross & Company CRD: 28570 | - | 0 | 0 | A | INACTIVE |
| Norcross Capital Management LLC CRD: 325410 | - | 0 | 1 | - | Unknown |
| Nord Associates LLC CRD: 325126 | - | 0 | 1 | - | Unknown |