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 Star Advisory Services, LLC
CRD: 316162
 - 0 0 - Unknown
North Star Asset Management Inc
CRD: 106489
 - 0 4 - Unknown
North Star Capital Management LLC
CRD: 158839
 - 0 0 - Unknown
North Star Financial Services, Inc.
CRD: 39622
 - 0 0 A INACTIVE
North Star Investment Management Corporation
CRD: 117681
 - 0 4 - Unknown
North Star Investment Services, Inc.
CRD: 7984
 - 4 0 C INACTIVE
North Star Securities, Inc.
CRD: 10460
 - 0 0 A INACTIVE
North Star Wealth Advisors
CRD: 285928
 - 0 0 - Unknown
North Star Wealth Management
CRD: 326664
 - 0 2 - Unknown
North Stars Technologies LLC
CRD: 284247
 - 0 0 - Unknown
North Street Ventures, LLC
CRD: 135542
 - 0 0 - Unknown
North Tide Capital, LLC
CRD: 157585
 - 0 0 - Unknown
North Tide Capital, LLC
CRD: 342349
 - 0 1 - Unknown
North Tide Capital, LP
CRD: 300502
 - 0 0 - Unknown
North Valley Regional Center LLC
CRD: 285662
 - 0 0 - Unknown
North Value Partners, LLC
CRD: 293725
 - 0 0 - Unknown
North Wall Capital Management Ltd.
CRD: 305236
 - 0 0 - Unknown
North Westerly Holdings B.V.
CRD: 327812
 - 0 0 - Unknown
North Woods Wealth Management
CRD: 226575
 - 0 1 - Unknown
North Woodward Financial Corp.
CRD: 104097
 - 7 0 D INACTIVE
Northampton Capital Partners
CRD: 329072
 - 0 1 - Unknown
Northavenue LLC
CRD: 297300
 - 0 2 - Unknown
Northbank Capital Management, LLC
CRD: 318282
 - 0 0 - Unknown
Northbank Capital Management, LLC
CRD: 318396
 - 0 1 - Unknown
Northbay Advisors
CRD: 129214
 - 0 2 - Unknown
Northborne Securities Partners LLC
CRD: 315017
 MN 0 3 A Active
Northbound Advisors LLC
CRD: 323186
 - 0 0 - Unknown
Northbound Securities LLC
CRD: 314549
 FL 0 1 A Active
Northbound Wealth
CRD: 311107
 - 0 1 - Unknown
Northbridge Financial Group, LLC
CRD: 310394
 - 0 1 - Unknown
Northbridge Financial Services
CRD: 25808
 MI 2 2 B Active
Northbridge Wealth Management LLC
CRD: 339816
 - 0 1 - Unknown
Northbrook Financial
CRD: 309060
 - 0 3 - Unknown
Northbrook Financial Group, LLC
CRD: 130864
 - 0 1 - Unknown
Northcape Capital
CRD: 332305
 - 0 0 - Unknown
Northcape Wealth Management
CRD: 312350
 - 0 1 - Unknown
Northcoast Asset Management LLC
CRD: 109582
 - 0 0 - Unknown
Northcoast Asset Management LLC
CRD: 282241
 - 0 28 - Unknown
Northcoast Capital Management
CRD: 316275
 - 0 0 - Unknown
Northcoast Research Partners, LLC
CRD: 149109
 OH 0 8 A Active
Northcrest Asset Management
CRD: 300366
 - 0 1 - Unknown
Northcross Capital Management Limited
CRD: 159723
 - 0 0 - Unknown
Northcutt-Owen and Company
CRD: 14372
 - 0 0 A INACTIVE
Northeast Advisers, Inc.
CRD: 108835
 - 0 3 - Unknown
Northeast Advisory Group, LLC
CRD: 287954
 - 0 1 - Unknown
Northeast Asset Advisors, LLC
CRD: 151944
 - 0 0 - Unknown
Northeast Asset Management LLC
CRD: 117567
 - 0 0 - Unknown
Northeast Brokerage Services Corporation
CRD: 26601
 - 0 0 A INACTIVE
Northeast Capital & Advisory, Inc.
CRD: 32117
 - 1 0 B INACTIVE
Northeast Capital Management, Inc.
CRD: 28956
 - 0 0 A INACTIVE
Page 1028 of 1601 (80,028 total)
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