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 |
|---|---|---|---|---|---|
| Nottingham Wealth Partners, Inc. CRD: 306971 | - | 0 | 5 | - | Unknown |
| Nottinghill Capital Management Inc. CRD: 125725 | - | 0 | 1 | - | Unknown |
| Nottinghill Investment Advisers, Ltd CRD: 106804 | - | 0 | 2 | - | Unknown |
| Nottoway LLC CRD: 144050 | - | 0 | 0 | A | INACTIVE |
| Notz, Stucki Europe S.A. CRD: 298255 | - | 0 | 0 | - | Unknown |
| Nova Academy of Finance Ltd CRD: 340607 | - | 0 | 1 | - | Unknown |
| Nova Capital Management Limited CRD: 164451 | - | 0 | 0 | - | Unknown |
| Nova Capital Markets, LLC CRD: 32694 | - | 1 | 0 | B | INACTIVE |
| Nova Capital Solutions, LLC CRD: 174636 | FL | 0 | 2 | A | Active |
| Nova Digital FZE CRD: 340943 | - | 0 | 0 | - | Unknown |
| Nova Distributors, Inc. CRD: 13020 | - | 0 | 0 | A | INACTIVE |
| Nova Financial Academy Ltd CRD: 339834 | - | 0 | 1 | - | Unknown |
| Nova Financial Management, Inc. CRD: 143521 | - | 0 | 0 | - | Unknown |
| Nova Financial Services CRD: 150148 | - | 0 | 5 | - | Unknown |
| Nova Financial, Inc. CRD: 29592 | - | 0 | 0 | A | INACTIVE |
| Nova Fund L.P. CRD: 35302 | - | 1 | 0 | B | INACTIVE |
| Nova Infrastructure Management, LLC CRD: 304510 | - | 0 | 2 | - | Unknown |
| Nova R Wealth, Inc. CRD: 169574 | - | 0 | 1 | - | Unknown |
| Nova River Management, LLC CRD: 322887 | - | 0 | 0 | - | Unknown |
| Nova Securities, Inc. CRD: 17894 | - | 0 | 0 | A | INACTIVE |
| Nova Securities, Incorporated CRD: 22489 | - | 0 | 0 | A | INACTIVE |
| Nova Wealth Management Group, LLC CRD: 125489 | - | 0 | 0 | - | Unknown |
| Nova Wealth Management, Inc. CRD: 169450 | - | 0 | 2 | - | Unknown |
| Novacap Management Financial Services Inc. CRD: 327205 | - | 0 | 0 | - | Unknown |
| Novacap Management Inc. CRD: 290100 | - | 0 | 0 | - | Unknown |
| Novacap Management US Inc. CRD: 327243 | - | 0 | 0 | - | Unknown |
| Novadius Wealth Management CRD: 148229 | - | 0 | 1 | - | Unknown |
| Novak & Powell Financial Services, Inc. CRD: 112970 | - | 0 | 4 | - | Unknown |
| Novak Biddle Venture Partners CRD: 162244 | - | 0 | 0 | - | Unknown |
| Novak Capital Management, LLC CRD: 318102 | - | 0 | 0 | - | Unknown |
| Novak Financial Planning LLC CRD: 109326 | - | 0 | 0 | - | Unknown |
| Novak Investment Partners, LLC CRD: 304116 | - | 0 | 0 | - | Unknown |
| Novalink Capital LLC CRD: 308195 | - | 0 | 0 | - | Unknown |
| Novalis Lifesciences LLC CRD: 304156 | - | 0 | 1 | - | Unknown |
| Novalpina Capital LLP CRD: 291550 | - | 0 | 0 | - | Unknown |
| Novalpina Capital Management International LLP CRD: 291551 | - | 0 | 0 | - | Unknown |
| Novant Asset Management, LLC CRD: 145050 | - | 0 | 0 | - | Unknown |
| Novapoint Capital LLC CRD: 173663 | - | 0 | 2 | - | Unknown |
| Novaquest Capital Management, L.L.C. CRD: 160359 | - | 0 | 1 | - | Unknown |
| Novare Capital Management CRD: 117949 | - | 0 | 2 | - | Unknown |
| Novation Investment Management CRD: 283997 | - | 0 | 0 | - | Unknown |
| Novawave Capital CRD: 333205 | - | 0 | 1 | - | Unknown |
| Novawulf Digital Management CRD: 321277 | - | 0 | 0 | - | Unknown |
| Nove Ventures, LLC CRD: 296777 | - | 0 | 1 | - | Unknown |
| Novel Capital Management Advisors, LLC CRD: 159111 | - | 0 | 0 | - | Unknown |
| Novell Investment Management Company, Inc. CRD: 111658 | - | 0 | 0 | - | Unknown |
| Novellus Services, LLC CRD: 336681 | NJ | 0 | 2 | A | Active |
| Novellus Ventures LS1 GP, LLC CRD: 338354 | - | 0 | 1 | - | Unknown |
| Novem Group CRD: 158964 | - | 0 | 18 | - | Unknown |
| November India Co, LLC CRD: 337840 | - | 0 | 1 | - | Unknown |