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
Northeast Capital Management, Inc.
CRD: 128508
 - 0 3 - Unknown
Northeast Equity Research Inc.
CRD: 154083
 - 0 1 - Unknown
Northeast Financial
CRD: 110361
 - 0 0 - Unknown
Northeast Financial Group, Inc.
CRD: 122609
 - 0 4 - Unknown
Northeast Investment Management Inc
CRD: 105051
 - 0 5 - Unknown
Northeast Management & Research Co., Inc.
CRD: 108214
 - 0 0 - Unknown
Northeast Passage Financial Advisors LLC
CRD: 144179
 - 0 0 - Unknown
Northeast Planning Associates, Inc.
CRD: 131406
 - 0 68 - Unknown
Northeast Securities, LLC
CRD: 25996
 - 27 0 F INACTIVE
Northeastern Capital Management, LLC
CRD: 165641
 - 0 0 - Unknown
Northeastern Financial Consultants, Inc.
CRD: 120737
 - 0 3 - Unknown
Northeastern Securities, Inc.
CRD: 11767
 - 0 0 A INACTIVE
Northeastern Star Asset Management, Inc.
CRD: 171891
 - 0 0 - Unknown
Northeastern University
CRD: 327435
 - 0 1 - Unknown
Northeastern Wealth Management, LLC
CRD: 167101
 - 0 0 - Unknown
Northedge Capital LLP
CRD: 173768
 - 0 0 - Unknown
Northern Access LLC
CRD: 127424
 - 0 0 A INACTIVE
Northern Border Advisors
CRD: 163302
 - 0 0 - Unknown
Northern Border Advisors LLC
CRD: 333791
 - 0 1 - Unknown
Northern Borealis LLC
CRD: 340911
 - 0 0 - Unknown
Northern Brokerage Company
CRD: 13346
 - 0 0 A INACTIVE
Northern California Fiduciary Advisors, LLC
CRD: 330908
 - 0 2 - Unknown
Northern Capital Management LLC
CRD: 104975
 - 0 0 - Unknown
Northern Capital Management, Inc.
CRD: 111379
 - 0 3 - Unknown
Northern Capital Retirement Services, Inc.
CRD: 163327
 - 0 2 - Unknown
Northern Capital Securities Corporation
CRD: 40659
 MA 0 7 A Active
Northern Capital Securities Incorporated
CRD: 15450
 - 0 0 A INACTIVE
Northern Cross, LLC
CRD: 128223
 - 0 0 - Unknown
Northern Edge Capital Advisors LLC
CRD: 151615
 NY 0 3 A Active
Northern Edge Wealth Management
CRD: 338102
 - 0 1 - Unknown
Northern Financial Advisors, Inc
CRD: 121088
 - 0 2 - Unknown
Northern Fund Management America LLC
CRD: 160147
 - 0 0 - Unknown
Northern Fund Management Bermuda Ltd
CRD: 162283
 - 0 0 - Unknown
Northern Funds Distributors, LLC
CRD: 45943
 ME 0 9 A Active
Northern Lakes Capital, L.P.
CRD: 315975
 - 0 1 - Unknown
Northern Light Financial Planning, LLC
CRD: 288048
 - 0 0 - Unknown
Northern Light Management US, Inc.
CRD: 154938
 - 0 0 - Unknown
Northern Light Venture Capital
CRD: 161103
 - 0 0 - Unknown
Northern Lights Advisors, Inc.
CRD: 167824
 - 0 1 - Unknown
Northern Lights Capital Management LLC
CRD: 181515
 - 0 0 - Unknown
Northern Lights Distributors, LLC
CRD: 126159
 NE 1 2 B Active
Northern Monarch Capital LLC
CRD: 332937
 - 0 2 - Unknown
Northern NEW England Investment Advisers LLC
CRD: 293996
 - 0 0 - Unknown
Northern Oregon Money Management LLC
CRD: 160819
 - 0 0 - Unknown
Northern Pacific Group, L.P.
CRD: 299012
 - 0 1 - Unknown
Northern Pacific Growth Investment Advisors, LLC
CRD: 173350
 - 0 1 - Unknown
Northern Pines Henderson Capital, LLC
CRD: 162260
 - 0 0 - Unknown
Northern Right Capital Management, L.P.
CRD: 133046
 - 0 1 - Unknown
Northern Saline Securities, Inc.
CRD: 22575
 - 0 0 A INACTIVE
Northern Securities, Inc.
CRD: 37037
 - 1 0 B INACTIVE
Page 1029 of 1601 (80,028 total)
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