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 |
|---|---|---|---|---|---|
| Nuvest Capital Management CRD: 308496 | - | 0 | 0 | - | Unknown |
| Nuvion Capital Inc. CRD: 339388 | - | 0 | 1 | - | Unknown |
| Nuvision Investment Advisors CRD: 120764 | - | 0 | 0 | - | Unknown |
| Nuwave Investment Management, LLC CRD: 150556 | - | 0 | 0 | - | Unknown |
| Nuwealth Advisors, LLC CRD: 328411 | - | 0 | 1 | - | Unknown |
| Nvcapital Advisors, LLC CRD: 159478 | - | 0 | 0 | - | Unknown |
| Nverses Capital, LLC CRD: 323291 | - | 0 | 1 | - | Unknown |
| Nvest Advisors, LLC CRD: 277064 | - | 0 | 3 | - | Unknown |
| Nvest Financial, LLC CRD: 128868 | - | 0 | 15 | - | Unknown |
| Nvest Wealth Strategies, Inc. CRD: 139758 | - | 0 | 2 | - | Unknown |
| Nvest Wise, LLC CRD: 145063 | - | 0 | 1 | - | Unknown |
| Nvestup LLC CRD: 288147 | - | 0 | 0 | - | Unknown |
| Nvision Wealth Group, LLC CRD: 171952 | - | 0 | 0 | - | Unknown |
| NVM Capital Partners, LLC CRD: 307526 | - | 0 | 0 | - | Unknown |
| NVM Private Equity LLP CRD: 301108 | - | 0 | 0 | - | Unknown |
| NVNG Investment Advisors, LLC CRD: 307219 | - | 0 | 1 | - | Unknown |
| NVP Capital Management, L.L.C. CRD: 339603 | - | 0 | 1 | - | Unknown |
| NW Advisors LLC CRD: 136740 | - | 0 | 0 | A | INACTIVE |
| NW Advisory CRD: 309480 | - | 0 | 3 | - | Unknown |
| NW Angel, LLC CRD: 329776 | - | 0 | 1 | - | Unknown |
| NW Capital Markets Inc. CRD: 17622 | NJ | 3 | 2 | B | Active |
| NW Financial Services, Inc. CRD: 17871 | - | 0 | 0 | A | INACTIVE |
| NW Straits Financial Services CRD: 315904 | - | 0 | 2 | - | Unknown |
| NW1 Partners CRD: 289852 | - | 0 | 0 | - | Unknown |
| NW1 Partners CRD: 289003 | - | 0 | 0 | - | Unknown |
| NWF Advisory Services Inc CRD: 110410 | - | 0 | 102 | - | Unknown |
| NWI Management LP CRD: 158366 | - | 0 | 1 | - | Unknown |
| NWK Group CRD: 124186 | - | 0 | 3 | - | Unknown |
| NWM Advisors, LLC CRD: 283714 | - | 0 | 1 | - | Unknown |
| NWM Fund Group, LLC CRD: 169928 | - | 0 | 0 | - | Unknown |
| NWQ Investment Management Company, LLC CRD: 121876 | - | 0 | 0 | - | Unknown |
| NWT Advisors, LLC CRD: 151192 | - | 0 | 1 | - | Unknown |
| NWT Financial Group, LLC CRD: 140145 | - | 9 | 0 | D | INACTIVE |
| NX1 Capital LP CRD: 339026 | - | 0 | 1 | - | Unknown |
| NXG Investment Management CRD: 131517 | - | 0 | 2 | - | Unknown |
| NXP Management LLC CRD: 321246 | - | 0 | 1 | - | Unknown |
| Nxstep Investment Advisors, LP CRD: 326574 | - | 0 | 1 | - | Unknown |
| NXT Capital Investment Advisers, LLC CRD: 160569 | - | 0 | 5 | - | Unknown |
| NXT Ventures Management, LLC CRD: 288795 | - | 0 | 0 | - | Unknown |
| NXT:GEN Financial Planning CRD: 296992 | - | 0 | 1 | - | Unknown |
| NXY Capital, LLC CRD: 333578 | - | 0 | 1 | - | Unknown |
| NY Credit Securities, LLC CRD: 138763 | - | 0 | 0 | A | INACTIVE |
| Nyca Management LLC CRD: 172892 | - | 0 | 1 | - | Unknown |
| Nydao Ltd. CRD: 339330 | - | 0 | 1 | - | Unknown |
| Nydig Asset Advisory LLC CRD: 300650 | - | 0 | 0 | - | Unknown |
| NYE Investment Advisors, LLC CRD: 146120 | - | 0 | 0 | - | Unknown |
| NYE Street Partners LLC CRD: 316056 | - | 0 | 1 | - | Unknown |
| NYE Wealth Management LLC CRD: 170415 | - | 0 | 1 | - | Unknown |
| Nyeman Securities Corporation CRD: 22244 | - | 0 | 0 | A | INACTIVE |
| Nyes Ledge Capital Management, LLC CRD: 156746 | - | 0 | 0 | - | Unknown |