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 |
|---|---|---|---|---|---|
| Northern Shipping Fund Management LLC CRD: 300339 | - | 0 | 0 | - | Unknown |
| Northern Shore Capital LLC CRD: 339563 | - | 0 | 1 | - | Unknown |
| Northern Star Advisors LLC CRD: 328033 | - | 0 | 0 | - | Unknown |
| Northern Star Capital Management CRD: 173649 | - | 0 | 0 | - | Unknown |
| Northern Star Generational Wealth CRD: 335323 | - | 0 | 2 | - | Unknown |
| Northern Trust Global Investments Ltd CRD: 111900 | - | 0 | 0 | - | Unknown |
| Northern Trust Investments, Incorporated CRD: 105780 | - | 0 | 37 | - | Unknown |
| Northern Trust Securities, Inc. CRD: 7927 | IL | 8 | 140 | B | Active |
| Northfield Investments Inc. CRD: 7621 | - | 0 | 0 | A | INACTIVE |
| Northfork Advisors CRD: 159781 | - | 0 | 3 | - | Unknown |
| Northfort Financial, LLC CRD: 143916 | - | 0 | 2 | - | Unknown |
| Northfront Financial USA Inc CRD: 301105 | - | 0 | 0 | - | Unknown |
| Northgate Advisors CRD: 169359 | - | 0 | 0 | - | Unknown |
| Northgate Capital, L.P. CRD: 140214 | - | 0 | 1 | - | Unknown |
| Northgate Securities Inc. CRD: 21188 | - | 14 | 0 | D | INACTIVE |
| Northgate Wealth Management CRD: 131776 | - | 0 | 0 | - | Unknown |
| Northill Aims, LLC CRD: 339338 | - | 0 | 3 | - | Unknown |
| Northill Securities Corp. CRD: 13490 | - | 0 | 0 | A | INACTIVE |
| Northington Capital Markets, Inc. CRD: 24469 | - | 0 | 0 | A | INACTIVE |
| Northlake Capital Management, LLC CRD: 132006 | - | 0 | 1 | - | Unknown |
| Northland Capital Management CRD: 146452 | - | 0 | 1 | - | Unknown |
| Northland Equity Investments, Inc. CRD: 27902 | - | 0 | 0 | A | INACTIVE |
| Northland Financial Advisors CRD: 140334 | - | 0 | 0 | - | Unknown |
| Northland Investment Corporation CRD: 23064 | - | 0 | 0 | A | INACTIVE |
| Northland Investment Management Co. CRD: 135888 | - | 0 | 0 | - | Unknown |
| Northland Securities Corporation CRD: 13799 | - | 0 | 0 | A | INACTIVE |
| Northland Securities, Inc. CRD: 40258 | MN | 7 | 17 | C | Active |
| Northlanding Financial Partners, LLC CRD: 167055 | - | 0 | 1 | - | Unknown |
| Northlane Capital Partners CRD: 285990 | - | 0 | 1 | - | Unknown |
| Northleaf Capital Advisors Ltd. CRD: 145014 | - | 0 | 0 | - | Unknown |
| Northleaf Capital Partners CRD: 327067 | - | 0 | 0 | - | Unknown |
| Northlight Capital Partners CRD: 170112 | - | 0 | 1 | - | Unknown |
| Northlight Financial LLC CRD: 139223 | - | 0 | 0 | - | Unknown |
| Northlight Group LLP CRD: 283883 | - | 0 | 0 | - | Unknown |
| Northline Wealth Management LLC CRD: 150422 | - | 0 | 0 | - | Unknown |
| Northman Financial, LLC CRD: 294952 | - | 0 | 0 | - | Unknown |
| Northmark Wealth Management LLC CRD: 308116 | - | 0 | 0 | - | Unknown |
| Northmarq Fund Management, LLC CRD: 150703 | - | 0 | 1 | - | Unknown |
| Northmont Capital Management Inc. CRD: 161804 | - | 0 | 1 | - | Unknown |
| Northmont Wealth Management LLC CRD: 165687 | - | 0 | 1 | - | Unknown |
| Northome Trading L.P. CRD: 34773 | - | 0 | 0 | A | INACTIVE |
| Northpark Securities Inc. CRD: 26510 | - | 0 | 0 | A | INACTIVE |
| Northpeak Financial, Inc. CRD: 142970 | - | 0 | 2 | - | Unknown |
| Northpoint Advisory LLC CRD: 147362 | - | 0 | 1 | - | Unknown |
| Northpoint Financial CRD: 124711 | - | 0 | 1 | - | Unknown |
| Northpoint Financial Planning LLC CRD: 146980 | - | 0 | 1 | - | Unknown |
| Northpoint Investment Management (Ifsc) LLP CRD: 339924 | - | 0 | 0 | - | Unknown |
| Northpoint Wealth Financial Services, LLC CRD: 166982 | - | 0 | 2 | - | Unknown |
| Northpointe Capital LLC CRD: 109383 | - | 0 | 0 | - | Unknown |
| Northpointe Financial Advisors LLC CRD: 326895 | - | 0 | 1 | - | Unknown |