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 |
|---|---|---|---|---|---|
| Northwood Investment Partners, LLC CRD: 167338 | - | 0 | 1 | - | Unknown |
| Northwood Investors LLC CRD: 161406 | - | 0 | 1 | - | Unknown |
| Northwood Wealth Management, LLC CRD: 330088 | - | 0 | 1 | - | Unknown |
| Northwoods Capital Management Partners, LLC CRD: 161148 | - | 0 | 0 | - | Unknown |
| Northwoods Financial Partners LLC CRD: 332747 | - | 0 | 1 | - | Unknown |
| Northwoods Wealth Management CRD: 135236 | - | 0 | 1 | - | Unknown |
| Northzone Management Growth II Limited CRD: 327713 | - | 0 | 0 | - | Unknown |
| Northzone Management IX Limited CRD: 327719 | - | 0 | 0 | - | Unknown |
| Northzone Management X Limited CRD: 327695 | - | 0 | 0 | - | Unknown |
| Nortlov Advisory, LLC CRD: 325025 | - | 0 | 2 | - | Unknown |
| Nortlov Securities LLC CRD: 318546 | GA | 0 | 2 | A | Active |
| Norton & Co. CRD: 14692 | - | 0 | 0 | A | INACTIVE |
| Norton Capital Management, Inc. CRD: 110398 | - | 0 | 3 | - | Unknown |
| Norton Financial Consultants CRD: 117351 | - | 0 | 3 | - | Unknown |
| Norton Financial Services, Inc. CRD: 118263 | - | 0 | 0 | - | Unknown |
| Norton-Barkley Asset Management CRD: 113977 | - | 0 | 2 | - | Unknown |
| Norvestor Advisory as CRD: 167036 | - | 0 | 0 | - | Unknown |
| Norvestor Investment Management CRD: 307639 | - | 0 | 0 | - | Unknown |
| Norvion Capital LLC CRD: 343150 | - | 0 | 1 | - | Unknown |
| Norwest Brokerage Services, Inc. CRD: 16106 | - | 0 | 0 | A | INACTIVE |
| Norwest Capital Advisors, LLC CRD: 323642 | - | 0 | 1 | - | Unknown |
| Norwester Securities Incorporated CRD: 15000 | - | 0 | 0 | A | INACTIVE |
| Norwich Securities Corporation CRD: 16601 | - | 0 | 0 | A | INACTIVE |
| Norwich Ventures CRD: 161722 | - | 0 | 0 | - | Unknown |
| Norwich Ventures CRD: 170981 | - | 0 | 1 | - | Unknown |
| Norwich Wealth Partners CRD: 327055 | - | 0 | 0 | - | Unknown |
| Norwood Economics, Inc. CRD: 282079 | - | 0 | 2 | - | Unknown |
| Norwood Investment Partners, LP CRD: 156280 | - | 0 | 0 | - | Unknown |
| Norwood Securities CRD: 7523 | - | 2 | 0 | B | INACTIVE |
| Norwottuck View Investment Management, LLC CRD: 139782 | - | 0 | 0 | - | Unknown |
| Nosara Capital Management Limited CRD: 299478 | - | 0 | 0 | - | Unknown |
| Nosara Capital Management, LP CRD: 335373 | - | 0 | 0 | - | Unknown |
| Nosara Financial Planning, Inc. CRD: 150626 | - | 0 | 0 | - | Unknown |
| Nose to Wind LLC CRD: 312219 | - | 0 | 1 | - | Unknown |
| Nosuris, Inc. CRD: 160979 | - | 0 | 1 | - | Unknown |
| NOT a Venture Fund CRD: 318836 | - | 0 | 1 | - | Unknown |
| NOT Boring Capital, LLC CRD: 315644 | - | 0 | 1 | - | Unknown |
| NOT Only Wallet Limited CRD: 325931 | - | 0 | 0 | - | Unknown |
| NOT YET Ventures, LLC CRD: 328487 | - | 0 | 1 | - | Unknown |
| Notable Capital Management, L.L.C. CRD: 163168 | - | 0 | 1 | - | Unknown |
| Notaro Wealth Advisory CRD: 141275 | - | 0 | 0 | - | Unknown |
| Notation Capital Management, LLC CRD: 327638 | - | 0 | 1 | - | Unknown |
| Notch View Capital Management, LLC CRD: 322002 | - | 0 | 1 | - | Unknown |
| Note Advisors, LLC CRD: 171466 | - | 0 | 2 | - | Unknown |
| Noteworthy Financial LLC CRD: 331946 | - | 0 | 1 | - | Unknown |
| Notion Capital CRD: 164583 | - | 0 | 0 | - | Unknown |
| Notion Capital CRD: 301084 | - | 0 | 0 | - | Unknown |
| Noto Capital CRD: 121066 | - | 0 | 2 | - | Unknown |
| Noto Financial Planning CRD: 168653 | - | 0 | 3 | - | Unknown |
| Nottingham Advisors Inc. CRD: 104928 | - | 0 | 7 | - | Unknown |