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 |
|---|---|---|---|---|---|
| Artience Capital Management, LLC CRD: 150762 | - | 0 | 2 | - | Unknown |
| Artifex Advisory Group, Inc. CRD: 281588 | - | 0 | 1 | - | Unknown |
| Artifex Financial Group, LLC CRD: 140643 | - | 0 | 4 | - | Unknown |
| Artificial Alpha Investments CRD: 315902 | - | 0 | 1 | - | Unknown |
| Artiman Capital India CRD: 163416 | - | 0 | 0 | - | Unknown |
| Artiman Ventures CRD: 162908 | - | 0 | 1 | - | Unknown |
| Artis Ventures Management, L.P. CRD: 168686 | - | 0 | 0 | - | Unknown |
| Artisan Partners Distributors LLC CRD: 45446 | WI | 0 | 16 | A | Active |
| Artisan Partners Limited Partnership CRD: 150114 | - | 0 | 1 | - | Unknown |
| Artisan Partners UK LLP CRD: 152711 | - | 0 | 0 | - | Unknown |
| Artisanal Ventures Management, LLC CRD: 318935 | - | 0 | 1 | - | Unknown |
| Artisans' Financial Services CRD: 184513 | - | 0 | 0 | - | Unknown |
| Artist Capital LLC CRD: 153937 | NY | 0 | 4 | A | Active |
| Artistic Wealth CRD: 337996 | - | 0 | 1 | - | Unknown |
| Artius Management LLC CRD: 299492 | - | 0 | 0 | - | Unknown |
| Artivest Alternative Advisors LLC CRD: 291989 | - | 0 | 0 | - | Unknown |
| Artivest Brokerage LLC CRD: 168218 | - | 0 | 0 | A | INACTIVE |
| Artizan Wealth CRD: 342327 | - | 0 | 3 | - | Unknown |
| Artko Capital, LLC CRD: 226694 | - | 0 | 0 | - | Unknown |
| Artney Limited CRD: 316542 | - | 0 | 0 | - | Unknown |
| Artorius Management, LLC CRD: 134951 | - | 0 | 0 | - | Unknown |
| Artorius Managers, LLC CRD: 313024 | - | 0 | 0 | - | Unknown |
| Artstone Private Wealth CRD: 330020 | - | 0 | 1 | - | Unknown |
| Artura Wealth, LLC CRD: 334786 | - | 0 | 1 | - | Unknown |
| Arundel (Securities), Inc. CRD: 43573 | - | 0 | 0 | A | INACTIVE |
| Arundel Capital LLC CRD: 169085 | - | 0 | 0 | - | Unknown |
| Arundel Capital LLC CRD: 164520 | - | 0 | 1 | - | Unknown |
| Arundel Securities, Inc. CRD: 13050 | - | 0 | 0 | A | INACTIVE |
| Arusha Wealth Limited Liability Company CRD: 339208 | - | 0 | 1 | - | Unknown |
| ARV Capital Corporation CRD: 17429 | - | 0 | 0 | A | INACTIVE |
| ARV Management, LLC CRD: 323641 | - | 0 | 1 | - | Unknown |
| Arvco Financial Ventures, LLC CRD: 148204 | - | 0 | 0 | A | INACTIVE |
| Arven Wealth Management LLC CRD: 340167 | - | 0 | 1 | - | Unknown |
| Arvest Wealth Management CRD: 42057 | AR | 4 | 185 | B | Active |
| ARX Advisors CRD: 336650 | - | 0 | 0 | - | Unknown |
| ARX Investimentos Ltda CRD: 148403 | - | 0 | 0 | - | Unknown |
| ARX Management, LLC CRD: 162404 | - | 0 | 0 | - | Unknown |
| ARX Management, LLC CRD: 305659 | - | 0 | 1 | - | Unknown |
| ARX Private Wealth CRD: 338631 | - | 0 | 6 | - | Unknown |
| ARX Strategic Wealth CRD: 342832 | - | 0 | 1 | - | Unknown |
| Arxis Securities LLC CRD: 172506 | - | 0 | 0 | A | INACTIVE |
| Arxstone Partners LLC CRD: 171781 | - | 0 | 0 | - | Unknown |
| Arya Ventures VC, LLC CRD: 339185 | - | 0 | 0 | - | Unknown |
| AS Avaron Asset Management CRD: 282350 | - | 0 | 0 | - | Unknown |
| AS Birch Grove LP CRD: 168245 | - | 0 | 0 | - | Unknown |
| AS Investment Management CRD: 317152 | - | 0 | 0 | - | Unknown |
| AS Investment Partners LLC CRD: 329772 | - | 0 | 1 | - | Unknown |
| AS Investments, LLC CRD: 310066 | - | 0 | 1 | - | Unknown |
| AS Plural Estonia CRD: 339695 | - | 0 | 0 | - | Unknown |
| AS Trigon Asset Management CRD: 286092 | - | 0 | 0 | - | Unknown |