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
Northstar Portfolio Investments, LLC
CRD: 173314
 - 0 1 - Unknown
Northstar Securities, Inc.
CRD: 11247
 - 1 0 B INACTIVE
Northstar Securities, LLC
CRD: 150409
 - 0 0 A INACTIVE
Northstar Strategic Investments Inc
CRD: 155202
 - 0 1 - Unknown
Northstar Wealth Management LLC
CRD: 325128
 - 0 2 - Unknown
Northstar Wealth Management, Inc.
CRD: 306721
 - 0 2 - Unknown
Northstar Wealth Management, Inc.
CRD: 137062
 - 0 3 - Unknown
Northstar Wealth Management, LLC
CRD: 117857
 - 0 0 - Unknown
Northstar Wealth Partners LLC
CRD: 169409
 - 0 0 - Unknown
Northstar, Northstar Asset Management Group
CRD: 167232
 - 0 0 - Unknown
Northtown Capital Strategies
CRD: 115436
 - 0 0 - Unknown
Northview Advisors LLC
CRD: 323786
 TX 0 3 A Active
Northview Asset Management, LLC
CRD: 109854
 - 0 0 - Unknown
Northwall Capital LLP
CRD: 298653
 - 0 0 - Unknown
Northwater Capital
CRD: 338732
 - 0 1 - Unknown
Northwater Capital Management Inc.
CRD: 112747
 - 0 0 - Unknown
Northwater Capital Markets, LLC
CRD: 120965
 - 0 0 A INACTIVE
Northwest Administrators Inc
CRD: 106544
 - 0 4 - Unknown
Northwest Advisors, Inc.
CRD: 154032
 - 0 0 - Unknown
Northwest Advisory Inc
CRD: 108786
 - 0 1 - Unknown
Northwest Asset Management
CRD: 147923
 - 0 59 - Unknown
Northwest Capital Management Inc.
CRD: 108091
 - 0 8 - Unknown
Northwest Criterion Asset Management, L.L.C.
CRD: 130538
 - 0 1 - Unknown
Northwest Fiduciary Consultants, LLC
CRD: 172885
 - 0 0 - Unknown
Northwest Financial Advisors LLC
CRD: 166769
 - 0 3 - Unknown
Northwest Financial Choices
CRD: 132301
 - 0 0 - Unknown
Northwest Financial Group LLC
CRD: 145064
 VA 0 14 A Active
Northwest Financial Group,Inc.
CRD: 14592
 - 0 0 A INACTIVE
Northwest Financial Investors Network, Inc.
CRD: 18435
 - 0 0 A INACTIVE
Northwest Financial Services Inc
CRD: 106805
 - 0 4 - Unknown
Northwest Growth Advising, LLC
CRD: 172261
 - 0 0 - Unknown
Northwest Income Investments, Inc
CRD: 116119
 - 0 1 - Unknown
Northwest Investment Advisors, Inc.
CRD: 109737
 WA 2 9 B Active
Northwest Investment Consulting, Inc.
CRD: 108359
 - 0 0 - Unknown
Northwest Investment Counselors
CRD: 107953
 - 0 0 - Unknown
Northwest Investment Counselors
CRD: 327970
 - 0 0 - Unknown
Northwest Investment Management (Hong Kong) Limite…
CRD: 153063
 - 0 0 - Unknown
Northwest Marquette Investments, Incorporated
CRD: 13630
 - 0 0 A INACTIVE
Northwest Passage Capital Advisors LLC
CRD: 281466
 - 0 0 - Unknown
Northwest Planning Advisors LLC
CRD: 297916
 - 0 1 - Unknown
Northwest Quadrant Wealth Management
CRD: 158455
 - 0 1 - Unknown
Northwest Securities Inc.
CRD: 6402
 - 0 0 A INACTIVE
Northwest Venture Services Corporation
CRD: 160942
 - 0 1 - Unknown
Northwest Wealth Advisors, LLC
CRD: 155579
 - 0 0 - Unknown
Northwest Wealth Management, LLC
CRD: 288363
 - 0 0 - Unknown
Northwest Wealth Management, LLC
CRD: 152816
 - 0 19 - Unknown
Northwestern Mutual Investment Management Company,…
CRD: 307865
 - 0 1 - Unknown
Northwestern Mutual Investment Services, LLC
CRD: 2881
 WI 11 1,077 B Active
Northwind Financial LLC
CRD: 342069
 - 0 1 - Unknown
Northwinds Marketing Group LLC
CRD: 113236
 - 0 0 A INACTIVE
Page 1032 of 1601 (80,028 total)
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