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
Northpointe Financial, LLC
CRD: 165118
 - 0 0 - Unknown
Northpointe Investment Advisory, LLC
CRD: 170850
 - 0 1 - Unknown
Northpointe Investment Partners LLC
CRD: 283178
 - 0 0 - Unknown
Northpond Ventures, LLC
CRD: 297265
 - 0 1 - Unknown
Northport Capital Management
CRD: 139761
 - 0 0 - Unknown
Northport Harbor Financial Services, LLC
CRD: 146738
 - 0 1 - Unknown
Northport Investment Management, LLC
CRD: 149223
 - 0 1 - Unknown
Northport Securities Inc.
CRD: 32386
 - 0 0 A INACTIVE
Northpost Partners, LLC
CRD: 292517
 - 0 0 - Unknown
Northquant Capital Management, LLC
CRD: 304449
 - 0 1 - Unknown
Northridge Capital Corporation
CRD: 16467
 - 10 0 D INACTIVE
Northridge Securities, Inc.
CRD: 1394
 - 0 0 A INACTIVE
Northrim Adviser, LLC
CRD: 306796
 - 0 1 - Unknown
Northroad Capital Management LLC
CRD: 120865
 - 0 0 - Unknown
Northrock Investments, PLLC
CRD: 306398
 - 0 1 - Unknown
Northrock Partners, LLC
CRD: 167908
 - 0 62 - Unknown
Northsands Capital
CRD: 331698
 - 0 1 - Unknown
Northshire Consulting, LLC
CRD: 299013
 - 0 1 - Unknown
Northshore Wealth Management
CRD: 335261
 - 0 1 - Unknown
Northside Capital Management LLC
CRD: 107784
 - 0 4 - Unknown
Northside Group Wealth Management, LLC
CRD: 148608
 - 0 2 - Unknown
Northsight Wealth Management
CRD: 284295
 - 0 0 - Unknown
Northstar Advisors PTE Ltd
CRD: 165852
 - 0 0 - Unknown
Northstar Advisory Group, LLC
CRD: 306850
 - 0 4 - Unknown
Northstar Asset Management Company, LLC
CRD: 328279
 - 0 1 - Unknown
Northstar Asset Management LLC
CRD: 109185
 - 0 0 - Unknown
Northstar Asset Management, Inc
CRD: 107138
 - 0 6 - Unknown
Northstar Capital Advisors LLC
CRD: 150004
 - 0 1 - Unknown
Northstar Capital Funds, LLC
CRD: 138526
 - 0 1 - Unknown
Northstar Capital Inc
CRD: 105925
 - 0 2 - Unknown
Northstar Capital Management LLC
CRD: 284287
 - 0 0 - Unknown
Northstar Capital, LLC
CRD: 283448
 - 0 0 - Unknown
Northstar Capital, LLC
CRD: 158003
 - 0 1 - Unknown
Northstar Commercial Partners
CRD: 298031
 - 0 0 - Unknown
Northstar Distributors, Inc.
CRD: 20863
 - 0 0 A INACTIVE
Northstar Fiduciary Partners, LLC
CRD: 284994
 - 0 3 - Unknown
Northstar Financial Advisors LLC
CRD: 147108
 - 0 1 - Unknown
Northstar Financial Advisors, Inc.
CRD: 124194
 - 0 2 - Unknown
Northstar Financial Companies, Inc.
CRD: 119396
 - 0 7 - Unknown
Northstar Financial Corp
CRD: 22901
 - 0 0 A INACTIVE
Northstar Financial Management, Inc.
CRD: 287594
 - 0 0 - Unknown
Northstar Financial Partners, Inc.
CRD: 107708
 - 0 0 A INACTIVE
Northstar Financial Planning, LLC
CRD: 117205
 - 0 2 - Unknown
Northstar Financial, Inc.
CRD: 169001
 - 0 1 - Unknown
Northstar Investment Advisors LLC
CRD: 107295
 - 0 0 - Unknown
Northstar Investment Advisory LLC
CRD: 315965
 - 0 8 - Unknown
Northstar Investment Management
CRD: 118005
 - 0 0 - Unknown
Northstar Investment Partners
CRD: 127432
 - 0 3 - Unknown
Northstar Investment Partners
CRD: 340596
 - 0 1 - Unknown
Northstar Plan Services, Inc.
CRD: 41164
 - 0 0 A INACTIVE
Page 1031 of 1601 (80,028 total)
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