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 Haven Financial LLC
CRD: 283057
 - 0 2 - Unknown
North Hill Ventures
CRD: 163098
 - 0 1 - Unknown
North Hudson Resource Partners LP
CRD: 297155
 - 0 1 - Unknown
North Inlet Advisors, LLC
CRD: 154297
 NC 0 2 A Active
North Investments Company LLC
CRD: 329409
 TX 0 1 A Active
North Island Ventures
CRD: 309291
 - 0 1 - Unknown
North Lake Tahoe Financial Services, LLC
CRD: 122802
 - 0 0 - Unknown
North Lion Capital Management LLC
CRD: 285470
 - 0 1 - Unknown
North Loop Capital Management, LLC
CRD: 163414
 - 0 0 - Unknown
North Manor Capital
CRD: 341333
 - 0 2 - Unknown
North Nassau Advisors, LLC
CRD: 143169
 - 4 0 C INACTIVE
North of South Capital LLP
CRD: 300917
 - 0 0 - Unknown
North Park Financial Planning
CRD: 292644
 - 0 0 - Unknown
North Peak Capital Management, LLC
CRD: 294042
 - 0 1 - Unknown
North Pier Fiduciary Management, LLC
CRD: 148128
 - 0 2 - Unknown
North Pillar Capital
CRD: 342114
 - 0 1 - Unknown
North Point Advisors
CRD: 131240
 - 0 0 - Unknown
North Point Capital Management, LLC
CRD: 293364
 - 0 0 - Unknown
North Point Financial Planners
CRD: 289180
 - 0 0 - Unknown
North Point Mergers and Acquisitions, Inc.
CRD: 133300
 CA 0 4 A Active
North Point Portfolio Managers Corporation
CRD: 111257
 - 0 1 - Unknown
North Pointe Financial Advisors, Inc
CRD: 162646
 - 0 1 - Unknown
North Pointe Wealth Advisors, LLC
CRD: 323968
 - 0 0 - Unknown
North Pond Capital Management LLC
CRD: 327791
 - 0 0 - Unknown
North Reef Capital Management LP
CRD: 311056
 - 0 1 - Unknown
North Ridge
CRD: 157516
 - 0 1 - Unknown
North Ridge Securities Corp.
CRD: 27098
 - 1 0 B INACTIVE
North RIM Capital Management LLC
CRD: 164932
 - 0 0 - Unknown
North River Capital Partners, LLC
CRD: 158467
 - 0 0 - Unknown
North River Group, LLC
CRD: 298565
 - 0 2 - Unknown
North River Wealth Advisors
CRD: 319417
 - 0 1 - Unknown
North Rock Digital GP, LLC
CRD: 318416
 - 0 0 - Unknown
North RUN Capital, LP
CRD: 157922
 - 0 0 - Unknown
North Scottsdale Wealth Advisors, LLC
CRD: 284449
 - 0 1 - Unknown
North SEA Securities L.P.
CRD: 35530
 - 2 0 B INACTIVE
North Shield Capital LLC
CRD: 327189
 - 0 0 - Unknown
North Shore Advisors, Inc.
CRD: 146945
 - 0 0 - Unknown
North Shore Asset Management, LLC
CRD: 119487
 - 0 0 - Unknown
North Shore Capital Group Investment Advisors, Inc
CRD: 309269
 - 0 1 - Unknown
North Shore Investment Advisors, LLC
CRD: 168208
 - 0 1 - Unknown
North Shore Investment Company
CRD: 2930
 - 0 0 A INACTIVE
North Shore Investment Consulting LLC
CRD: 131763
 - 0 1 - Unknown
North Shore Private Asset Management, LLC
CRD: 130132
 - 0 1 - Unknown
North Shore Wealth Management
CRD: 329710
 - 0 1 - Unknown
North Shoreline Advisors LLC
CRD: 297224
 - 0 0 - Unknown
North SKY Capital, LLC
CRD: 133959
 - 0 1 - Unknown
North South Capital, LLC
CRD: 148158
 IL 1 5 B Active
North South VC, LLC
CRD: 336273
 - 0 0 - Unknown
North Square Investments, LLC
CRD: 294355
 - 0 1 - Unknown
North Star Advisory Group, LLC
CRD: 171694
 - 0 1 - Unknown
Page 1027 of 1601 (80,028 total)
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