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 |
|---|---|---|---|---|---|
| Nucleation Capital Management LLC CRD: 315357 | - | 0 | 1 | - | Unknown |
| Nucleo Capital Ltda. CRD: 287719 | - | 0 | 0 | - | Unknown |
| Nucleus Holding Group CRD: 291074 | - | 0 | 0 | - | Unknown |
| Nuclo Wealth CRD: 317730 | - | 0 | 1 | - | Unknown |
| Nudibranch Capital, LLC CRD: 315252 | - | 0 | 1 | - | Unknown |
| Nuku CRD: 156748 | - | 0 | 0 | - | Unknown |
| Nuland & Arshad Inc CRD: 104706 | - | 0 | 0 | - | Unknown |
| Numa CRD: 164602 | - | 0 | 1 | - | Unknown |
| Numarc Wealth Advisors, Inc. CRD: 308416 | - | 0 | 0 | - | Unknown |
| Number Tree Capital CRD: 338438 | - | 0 | 1 | - | Unknown |
| Numbers 13 Management, LP CRD: 288014 | - | 0 | 0 | - | Unknown |
| Numbers by TOM Paske & Diane Kramer, Inc. CRD: 115193 | - | 0 | 0 | - | Unknown |
| Numen Capital LLP CRD: 166984 | - | 0 | 0 | - | Unknown |
| Numen Investments Limited CRD: 167127 | - | 0 | 0 | - | Unknown |
| Numerai CRD: 282851 | - | 0 | 1 | - | Unknown |
| Numeric Investors LLC CRD: 131684 | - | 0 | 1 | - | Unknown |
| Numerixs Investment Technologies Inc CRD: 172022 | - | 0 | 0 | - | Unknown |
| Numina Capital Management, LLC CRD: 169973 | - | 0 | 0 | - | Unknown |
| Numis Securities LLC CRD: 128471 | - | 1 | 0 | B | INACTIVE |
| Numu Capital LLC CRD: 313721 | - | 0 | 0 | - | Unknown |
| Numundo Ventures Management, LLC CRD: 319641 | - | 0 | 1 | - | Unknown |
| Numus, LLC CRD: 291081 | - | 0 | 0 | - | Unknown |
| Nuna Investments CRD: 340462 | - | 0 | 1 | - | Unknown |
| Nunami Services, LLC. CRD: 133837 | - | 1 | 0 | B | INACTIVE |
| Nunnink Capital Markets, Inc. CRD: 28396 | - | 0 | 0 | A | INACTIVE |
| Nunzio E. Cernero & Company, LLC CRD: 134142 | - | 0 | 0 | - | Unknown |
| Nuorion Advisors, LLC CRD: 290216 | - | 0 | 2 | - | Unknown |
| Nuorion Capital CRD: 315811 | FL | 0 | 2 | A | Active |
| Nural Capital Management LLC CRD: 318778 | - | 0 | 1 | - | Unknown |
| Nurture Investment Strategies LLC CRD: 317443 | - | 0 | 1 | - | Unknown |
| Nurture Venture Partners LLC CRD: 340914 | - | 0 | 1 | - | Unknown |
| NUT Tree Capital Management, LP CRD: 282219 | - | 0 | 1 | - | Unknown |
| Nutfield Financial CRD: 117419 | - | 0 | 2 | - | Unknown |
| Nutley Securities, Inc. CRD: 20048 | - | 0 | 0 | A | INACTIVE |
| Nutmeg Capital Advisors, LLC CRD: 133162 | - | 0 | 2 | - | Unknown |
| Nuts2INVEST.COM, LLC CRD: 164438 | - | 0 | 1 | - | Unknown |
| Nutshell Asset Management Limited CRD: 329065 | - | 0 | 0 | - | Unknown |
| Nutter Investment Advisors CRD: 105461 | - | 0 | 4 | - | Unknown |
| Nuvama Financial Services Inc. CRD: 172455 | NY | 0 | 1 | A | Active |
| Nuveen Alternatives Advisors LLC CRD: 160255 | - | 0 | 1 | - | Unknown |
| Nuveen Asset Management, LLC CRD: 155584 | - | 0 | 89 | - | Unknown |
| Nuveen Capital Markets LLC CRD: 301204 | - | 0 | 0 | - | Unknown |
| Nuveen Fund Advisors, LLC CRD: 104626 | - | 0 | 1 | - | Unknown |
| Nuveen Investment Management International Limited CRD: 306545 | - | 0 | 0 | - | Unknown |
| Nuveen Investments Advisers, LLC CRD: 123122 | - | 0 | 0 | - | Unknown |
| Nuveen Real Estate CRD: 283854 | - | 0 | 0 | - | Unknown |
| Nuveen Securities, LLC CRD: 469 | IL | 10 | 15 | C | Active |
| Nuveen Singapore Private Limited CRD: 338079 | - | 0 | 0 | - | Unknown |
| Nuvern Wealth Advisors LLC CRD: 322065 | - | 0 | 2 | - | Unknown |
| Nuverse Advisors LLC CRD: 119840 | - | 0 | 1 | - | Unknown |