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 |
|---|---|---|---|---|---|
| Noven Financial Group, Inc. CRD: 117897 | - | 0 | 0 | - | Unknown |
| Noventa Capital Management Limited CRD: 329210 | - | 0 | 0 | - | Unknown |
| Novera Ventures, LLC CRD: 339206 | - | 0 | 1 | - | Unknown |
| Novi Wealth Partners CRD: 166539 | - | 0 | 1 | - | Unknown |
| Novice Capital LLC CRD: 330179 | - | 0 | 1 | - | Unknown |
| Novick & Co., Inc. CRD: 127884 | - | 0 | 0 | - | Unknown |
| Novick & Company Financial Group, LLC CRD: 149287 | - | 0 | 0 | - | Unknown |
| Novirian Capital LLC CRD: 171247 | - | 0 | 1 | - | Unknown |
| Novo Holdings US Investment Advisor, Inc. CRD: 334495 | - | 0 | 0 | - | Unknown |
| Novo Tellus Capital Partners PTE. Ltd. CRD: 311350 | - | 0 | 0 | - | Unknown |
| Novodyn Advisors LLC CRD: 156451 | - | 0 | 1 | - | Unknown |
| Novos Planning Associates Inc CRD: 114673 | - | 0 | 0 | - | Unknown |
| Novotny Wealth Management CRD: 323627 | - | 0 | 0 | - | Unknown |
| Novus Advisors CRD: 157908 | - | 0 | 2 | - | Unknown |
| Novus Energy Management LLC CRD: 163075 | - | 0 | 0 | - | Unknown |
| Novus Securities Corp. CRD: 38243 | - | 0 | 0 | A | INACTIVE |
| Novus Ventures CRD: 163065 | - | 0 | 0 | - | Unknown |
| Novus Wealth Advisors CRD: 164547 | - | 0 | 0 | - | Unknown |
| NOW Asset Management LLC CRD: 341388 | - | 0 | 1 | - | Unknown |
| NOW I Have a Plan CRD: 315297 | - | 0 | 0 | - | Unknown |
| Nowtrade, Corp. CRD: 47596 | - | 1 | 0 | B | INACTIVE |
| Noxon Investors Corp. CRD: 7220 | - | 0 | 0 | A | INACTIVE |
| Noyack Creek Capital CRD: 285586 | - | 0 | 0 | - | Unknown |
| Noyes Capital Management, LLC CRD: 128068 | - | 0 | 0 | - | Unknown |
| Noyes Partners Incorporated CRD: 10128 | - | 5 | 0 | C | INACTIVE |
| NPA Asset Management, LLC CRD: 131534 | - | 0 | 31 | - | Unknown |
| NPB Financial Group, LLC CRD: 137743 | - | 2 | 0 | B | INACTIVE |
| NPC Securities, Inc. CRD: 10121 | - | 1 | 0 | B | INACTIVE |
| NPF Investment Advisors CRD: 104683 | - | 0 | 3 | - | Unknown |
| NPJ Asset Management LLP CRD: 140986 | - | 0 | 0 | - | Unknown |
| NPLP Management CRD: 335167 | - | 0 | 1 | - | Unknown |
| NPM Consulting, LLC CRD: 163237 | - | 0 | 1 | - | Unknown |
| NPM Securities, LLC CRD: 168469 | NY | 0 | 2 | A | Active |
| NPPG Investment Services, LLC CRD: 159695 | - | 0 | 0 | - | Unknown |
| NPPG Plan Professionals, LLC CRD: 324646 | - | 0 | 2 | - | Unknown |
| NPV Advisory Services, LLC CRD: 172497 | - | 0 | 1 | - | Unknown |
| NPW Inc. CRD: 310288 | - | 0 | 0 | - | Unknown |
| NR Smith and Associates, P.S. CRD: 116894 | - | 0 | 0 | - | Unknown |
| NRB Capital Management, Inc. CRD: 121290 | - | 0 | 0 | - | Unknown |
| NRD Capital Management II, LLC CRD: 305298 | - | 0 | 0 | - | Unknown |
| NRD Capital Management II, LLC CRD: 328502 | - | 0 | 1 | - | Unknown |
| NRD Capital Management, LLC CRD: 289964 | - | 0 | 0 | - | Unknown |
| NRD of I Management Company, LLC CRD: 328368 | - | 0 | 1 | - | Unknown |
| NRDC Equity Management Company LLC CRD: 328121 | - | 0 | 1 | - | Unknown |
| Nrep a/S CRD: 174998 | - | 0 | 0 | - | Unknown |
| Nrep AB CRD: 282262 | - | 0 | 0 | - | Unknown |
| NRG Capital Services LLC CRD: 128176 | - | 0 | 0 | - | Unknown |
| NRG Ventures LLC CRD: 314636 | - | 0 | 0 | - | Unknown |
| NRG Wealth Management CRD: 289548 | - | 0 | 2 | - | Unknown |
| NRGP2 LLC CRD: 318755 | - | 0 | 1 | - | Unknown |