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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
North American Capital Corporation
CRD: 14727
 - 0 0 A INACTIVE
North American Capital Markets, Inc.
CRD: 104079
 - 0 0 A INACTIVE
North American Capital Markets, LLC
CRD: 139860
 - 1 0 B INACTIVE
North American Clearing, Inc.
CRD: 39118
 - 6 0 D INACTIVE
North American Equity Corporation
CRD: 14706
 - 0 0 A INACTIVE
North American Financial Group, Inc.
CRD: 22273
 - 0 0 A INACTIVE
North American Institutional Brokers
CRD: 20574
 - 7 0 D INACTIVE
North American Investment Corp.
CRD: 7568
 - 0 0 A INACTIVE
North American Management Corp
CRD: 104825
 - 0 0 - Unknown
North American Management, Inc.
CRD: 624
 - 0 0 A INACTIVE
North American Securities Company, LLC
CRD: 34740
 - 0 0 A INACTIVE
North American Wealth Advisors Inc.
CRD: 297057
 - 0 1 - Unknown
North American Wealth Management, LLC
CRD: 317690
 - 0 0 - Unknown
North Asset Management LLP
CRD: 172047
 - 0 0 - Unknown
North Atlantic Capital Management, LLC
CRD: 337492
 - 0 1 - Unknown
North Atlantic Securities, L.L.C.
CRD: 123435
 - 2 0 B INACTIVE
North BAY Wealth Management
CRD: 285523
 - 0 1 - Unknown
North Berkeley Wealth Management, LLC
CRD: 136431
 - 0 2 - Unknown
North Branch Advisory
CRD: 129849
 - 0 0 - Unknown
North Branch Capital Management, L.P.
CRD: 307344
 - 0 1 - Unknown
North Branch Capital, LLC
CRD: 300492
 - 0 0 - Unknown
North Bridge Capital, LLC
CRD: 107320
 - 0 0 A INACTIVE
North Bridge Securities, Inc.
CRD: 28951
 - 0 0 A INACTIVE
North Bridge Venture Management Company, LLC
CRD: 162010
 - 0 1 - Unknown
North Capital
CRD: 148802
 - 0 5 - Unknown
North Capital Agency Brokerage, LLC
CRD: 306775
 UT 0 1 A Active
North Capital Private Securities Corporation
CRD: 154559
 UT 1 8 B Active
North Castle Advisors, LLC
CRD: 131182
 - 0 0 - Unknown
North Castle Partners, LLC
CRD: 158213
 - 0 1 - Unknown
North Coast Asset Management, Inc.
CRD: 119226
 - 0 2 - Unknown
North Coast Securities
CRD: 14915
 - 0 0 A INACTIVE
North Coast Securities Corporation
CRD: 35982
 - 3 0 C INACTIVE
North Compass Financial Advisors, LLC
CRD: 146626
 - 0 1 - Unknown
North Country Investment Advisers, Inc.
CRD: 112554
 - 0 0 - Unknown
North Country Securities, Ltd.
CRD: 7097
 - 0 0 A INACTIVE
North County Financial Planning, LLC
CRD: 340508
 - 0 1 - Unknown
North Creek Capital, LLC
CRD: 302104
 - 0 1 - Unknown
North East Asset Management
CRD: 116339
 - 0 0 - Unknown
North ELM Capital LP
CRD: 183513
 - 0 0 - Unknown
North Financial Advisors
CRD: 281795
 - 0 2 - Unknown
North Financial Inc
CRD: 284561
 - 0 1 - Unknown
North Fork Financial, LLC
CRD: 316152
 - 0 1 - Unknown
North Fork Investment Management LLC
CRD: 147891
 - 0 0 - Unknown
North Forty Investment Advisors LLC
CRD: 306107
 - 0 1 - Unknown
North Forty Management
CRD: 160296
 - 0 0 - Unknown
North Forty TWO & Co.
CRD: 148417
 - 0 2 - Unknown
North Fourth Asset Management, LP
CRD: 289736
 - 0 0 - Unknown
North Global Securities, Inc.
CRD: 132918
 - 1 0 B INACTIVE
North Ground Capital
CRD: 325287
 - 0 1 - Unknown
North Hampton Partners, L.P.
CRD: 42226
 - 2 0 B INACTIVE
Page 1026 of 1601 (80,028 total)
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