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 |
|---|---|---|---|---|---|
| Nyfix Millennium, L.L.C. CRD: 103843 | - | 3 | 0 | C | INACTIVE |
| Nyfix Transaction Services, Inc. CRD: 31700 | - | 2 | 0 | B | INACTIVE |
| NYFTY Wealth CRD: 322543 | - | 0 | 0 | - | Unknown |
| Nyhart Consulting, LLC CRD: 145590 | - | 0 | 0 | - | Unknown |
| Nyhavn Capital AB CRD: 313757 | - | 0 | 0 | - | Unknown |
| NYL Investments Europe Limited CRD: 306388 | - | 0 | 0 | - | Unknown |
| NYL Investors LLC CRD: 169553 | - | 0 | 1 | - | Unknown |
| Nylife Distributors LLC CRD: 35350 | NJ | 2 | 33 | B | Active |
| Nylife Securities LLC CRD: 5167 | NY | 20 | 2,345 | B | Active |
| Nylim Jacob Ballas Asset Management Company III LL… CRD: 163119 | - | 0 | 0 | - | Unknown |
| Nylim-JB Asset Management Co. (Mauritius) LLC CRD: 163082 | - | 0 | 0 | - | Unknown |
| Nylrem Asset Management, LLC CRD: 284089 | - | 0 | 1 | - | Unknown |
| Nymbus Capital Inc. CRD: 298214 | - | 0 | 0 | - | Unknown |
| Nyppex, LLC CRD: 47654 | - | 14 | 0 | D | INACTIVE |
| Nystrom Capital Management CRD: 305226 | - | 0 | 0 | - | Unknown |
| NYTRX LLC CRD: 312141 | - | 0 | 1 | - | Unknown |
| NYVC CRD: 325272 | - | 0 | 0 | - | Unknown |
| Nyver CRD: 339569 | - | 0 | 0 | - | Unknown |
| NYX Investment Management Corporate Limited CRD: 331839 | - | 0 | 1 | - | Unknown |
| NYX Moros CRD: 309834 | - | 0 | 0 | - | Unknown |
| NZS Capital LLC CRD: 305093 | - | 0 | 1 | - | Unknown |
| O & G Securities, Inc. CRD: 143477 | - | 1 | 0 | B | INACTIVE |
| O Asset Management LLC CRD: 336682 | - | 0 | 1 | - | Unknown |
| O World Corp CRD: 142009 | - | 0 | 0 | - | Unknown |
| O World Corp. CRD: 15500 | - | 0 | 0 | A | INACTIVE |
| O'bannon & Davis Inc. CRD: 134005 | - | 0 | 1 | - | Unknown |
| O'boyle Wealth Management, Inc. CRD: 292849 | - | 0 | 2 | - | Unknown |
| O'brien & Shepard, Inc. CRD: 7152 | - | 2 | 0 | B | INACTIVE |
| O'brien and Associates, Inc. CRD: 115159 | - | 0 | 2 | - | Unknown |
| O'brien Asset Management CRD: 144502 | - | 0 | 2 | - | Unknown |
| O'brien Associates CRD: 129993 | - | 0 | 0 | - | Unknown |
| O'brien Capital Advisors, LLC CRD: 298766 | - | 0 | 1 | - | Unknown |
| O'brien Capital Management, Inc. CRD: 136100 | - | 0 | 1 | - | Unknown |
| O'brien Financial Group, Inc. CRD: 19957 | - | 0 | 0 | A | INACTIVE |
| O'brien Investment Group LLC CRD: 286390 | - | 0 | 0 | - | Unknown |
| O'brien Investment Management, LLC CRD: 284057 | - | 0 | 1 | - | Unknown |
| O'brien Strategic Wealth CRD: 340330 | - | 0 | 1 | - | Unknown |
| O'brien Wealth Partners LLC CRD: 105336 | - | 0 | 0 | - | Unknown |
| O'brien, Mark Danial CRD: 34817 | - | 0 | 0 | A | INACTIVE |
| O'brien-Staley Partners CRD: 169245 | - | 0 | 2 | - | Unknown |
| O'bryant & Associates, Inc. CRD: 149187 | - | 0 | 1 | - | Unknown |
| O'connell & Piper Associates, Inc. CRD: 10058 | - | 0 | 0 | A | INACTIVE |
| O'connell, Edward Michael CRD: 134990 | - | 0 | 0 | A | INACTIVE |
| O'connor & Associates CRD: 8242 | - | 0 | 0 | A | INACTIVE |
| O'connor & Company Securities Inc. CRD: 146787 | - | 1 | 0 | B | INACTIVE |
| O'connor & O'connor, LLP CRD: 140493 | - | 0 | 0 | - | Unknown |
| O'connor Alternative Investments, LLC CRD: 336332 | - | 0 | 3 | - | Unknown |
| O'connor Capital Advisory, LLC CRD: 152687 | - | 0 | 1 | - | Unknown |
| O'connor Financial Consultants CRD: 114378 | - | 0 | 0 | - | Unknown |
| O'connor Financial Group LLC CRD: 168636 | - | 0 | 1 | - | Unknown |