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 |
|---|---|---|---|---|---|
| Arrivato Asset Management, LLC CRD: 226536 | - | 0 | 0 | - | Unknown |
| Arrive Opportunities Management, LLC CRD: 300466 | - | 0 | 1 | - | Unknown |
| Arrivity Financial Planning CRD: 167976 | - | 0 | 1 | - | Unknown |
| Arroit Services Inc CRD: 316634 | - | 0 | 1 | - | Unknown |
| Arrow Alliance CRD: 318519 | - | 0 | 1 | - | Unknown |
| Arrow Analytics Securities, LLC CRD: 334741 | NY | 0 | 1 | A | Active |
| Arrow Capital Management, LLC CRD: 165190 | - | 0 | 1 | - | Unknown |
| Arrow Capital PTY Ltd CRD: 317731 | - | 0 | 0 | - | Unknown |
| Arrow Financial Group CRD: 119423 | - | 0 | 1 | - | Unknown |
| Arrow Financial Planning CRD: 317721 | - | 0 | 0 | - | Unknown |
| Arrow Investment Advisors, LLC CRD: 139652 | - | 0 | 1 | - | Unknown |
| Arrow Investment MGMT. CRD: 138928 | - | 0 | 1 | - | Unknown |
| Arrow Investments, Inc. CRD: 45936 | NY | 0 | 2 | A | Active |
| Arrow Partners, Inc. CRD: 282416 | - | 0 | 1 | - | Unknown |
| Arrow Private Wealth CRD: 166258 | - | 0 | 0 | - | Unknown |
| Arrow Resources, Inc. CRD: 36374 | - | 0 | 0 | A | INACTIVE |
| Arrow Ridge Capital Advisors, LLC CRD: 285548 | - | 0 | 0 | - | Unknown |
| Arrow Rock Investment Company CRD: 15964 | - | 0 | 0 | A | INACTIVE |
| Arrow Wealth Advisors CRD: 290853 | - | 0 | 3 | - | Unknown |
| Arrow Wealth Advisory LLC CRD: 296890 | - | 0 | 1 | - | Unknown |
| Arrowgrass Capital Partners (US) LP CRD: 157179 | - | 0 | 0 | - | Unknown |
| Arrowhead Asset Management CRD: 117075 | - | 0 | 1 | - | Unknown |
| Arrowhead Investment Advisors, LLC CRD: 167964 | - | 0 | 1 | - | Unknown |
| Arrowhead Mezzanine, LLC CRD: 157320 | - | 0 | 0 | - | Unknown |
| Arrowmark Asset Management, LLC CRD: 307161 | - | 0 | 1 | - | Unknown |
| Arrowmark Colorado Holdings, LLC CRD: 149120 | - | 0 | 1 | - | Unknown |
| Arrowpath Venture Management, LLC CRD: 164064 | - | 0 | 0 | - | Unknown |
| Arrowpoint Asset Advisors, LLC CRD: 337923 | - | 0 | 1 | - | Unknown |
| Arrowpoint Investment Partners (Hong Kong) Limited CRD: 331922 | - | 0 | 0 | - | Unknown |
| Arrowpoint Investment Partners (Singapore) PTE. Lt… CRD: 331921 | - | 0 | 0 | - | Unknown |
| Arrowroot Family Office, LLC CRD: 168744 | - | 0 | 15 | - | Unknown |
| Arrowroot Partners, LLC CRD: 173085 | - | 0 | 0 | A | INACTIVE |
| Arrowside Capital, LLC CRD: 318976 | - | 0 | 1 | - | Unknown |
| Arrowside Fund GP CRD: 338397 | - | 0 | 1 | - | Unknown |
| Arrowsmith, LLC CRD: 163130 | - | 0 | 0 | - | Unknown |
| Arrowstone Equity Corporation CRD: 10979 | - | 0 | 0 | A | INACTIVE |
| Arrowstone Wealth, LLC CRD: 172147 | - | 0 | 1 | - | Unknown |
| Arroyo Energy Investment Partners LLC CRD: 173735 | - | 0 | 1 | - | Unknown |
| Arroyo Investment Group, LLC CRD: 130243 | - | 0 | 6 | - | Unknown |
| Arroyo Seco, Inc. CRD: 39387 | - | 1 | 0 | B | INACTIVE |
| ARS Advisors, LLC CRD: 171170 | - | 0 | 0 | - | Unknown |
| ARS Capital Advisors, Inc. CRD: 155121 | - | 0 | 0 | - | Unknown |
| ARS Investment Advisors, Inc. CRD: 293750 | - | 0 | 0 | - | Unknown |
| ARS Wealth Advisors CRD: 124185 | - | 0 | 0 | - | Unknown |
| ARS Wealth Advisors CRD: 314882 | - | 0 | 11 | - | Unknown |
| ARS Wealth Management, LLC CRD: 328322 | - | 0 | 0 | - | Unknown |
| Arsenal 401K Advisors CRD: 173055 | - | 0 | 1 | - | Unknown |
| Arsenal Bridge Management, LLC CRD: 337406 | - | 0 | 1 | - | Unknown |
| Arsenal Capital Advisors LLC CRD: 325612 | - | 0 | 1 | - | Unknown |
| Arsenal Capital Management LP CRD: 156896 | - | 0 | 1 | - | Unknown |