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 |
|---|---|---|---|---|---|
| ASA Advisors, Inc. CRD: 170898 | - | 0 | 1 | - | Unknown |
| ASA Asset LLC CRD: 318688 | - | 0 | 0 | - | Unknown |
| ASA Asset Management LLC CRD: 335177 | - | 0 | 1 | - | Unknown |
| ASA Managed Account Managers LLC CRD: 162855 | - | 0 | 1 | - | Unknown |
| Asae Investments CRD: 292169 | - | 0 | 1 | - | Unknown |
| Asage Financial LLC CRD: 140805 | - | 0 | 2 | - | Unknown |
| Asal Invest CRD: 340305 | - | 0 | 1 | - | Unknown |
| Asana Partners, LP CRD: 284477 | - | 0 | 1 | - | Unknown |
| Asante Capital Group Advisors LLC CRD: 155178 | - | 0 | 2 | A | Active |
| Asante Partners LLC CRD: 103949 | - | 0 | 0 | A | INACTIVE |
| ASB Capital Management LLC CRD: 110995 | - | 0 | 3 | - | Unknown |
| ASB Financial Services CRD: 24280 | - | 0 | 0 | A | INACTIVE |
| Asbury Capital CRD: 325293 | - | 0 | 1 | - | Unknown |
| Asbury Capital LLC CRD: 142174 | NY | 0 | 2 | A | Active |
| Asbury Research LLC CRD: 322202 | - | 0 | 1 | - | Unknown |
| ASC 401(K) Management CRD: 220516 | - | 0 | 2 | - | Unknown |
| ASC Management Holdings CRD: 318034 | - | 0 | 0 | - | Unknown |
| ASC VC Management Company, LLC CRD: 322564 | - | 0 | 1 | - | Unknown |
| ASC Wealth Management LLC CRD: 304304 | - | 0 | 0 | - | Unknown |
| ASC, Inc. CRD: 13622 | - | 0 | 0 | A | INACTIVE |
| Ascalonvi Capital Management LLC CRD: 337367 | - | 0 | 1 | - | Unknown |
| Ascend Advisor Services LLC CRD: 306302 | - | 0 | 1 | - | Unknown |
| Ascend Capital Advisors, LLC CRD: 226617 | - | 0 | 0 | - | Unknown |
| Ascend Capital LLC CRD: 118397 | - | 0 | 0 | - | Unknown |
| Ascend Financial CRD: 325357 | - | 0 | 1 | - | Unknown |
| Ascend Financial Advisers, Inc CRD: 113273 | - | 0 | 2 | - | Unknown |
| Ascend Interplay, LLC CRD: 317344 | - | 0 | 2 | - | Unknown |
| Ascend Investment Partners CRD: 307667 | - | 0 | 3 | - | Unknown |
| Ascend Partners CRD: 310515 | - | 0 | 1 | - | Unknown |
| Ascend Solutions LLC CRD: 309858 | - | 0 | 1 | - | Unknown |
| Ascend Venture Capital, LLC CRD: 322376 | - | 0 | 1 | - | Unknown |
| Ascend Ventures Management, LLC CRD: 163443 | - | 0 | 0 | - | Unknown |
| Ascend Wealth Advisors, LLC CRD: 329553 | - | 0 | 1 | - | Unknown |
| Ascend Wealth Advisors, LLC CRD: 165774 | - | 0 | 2 | - | Unknown |
| Ascend Wealth Management CRD: 335269 | - | 0 | 1 | - | Unknown |
| Ascend Wealth Management LLC CRD: 333076 | - | 0 | 1 | - | Unknown |
| Ascendall Financial Strategies, P.C. CRD: 283069 | - | 0 | 0 | - | Unknown |
| Ascendance Asset Management, LLC CRD: 331610 | - | 0 | 0 | - | Unknown |
| Ascendance Wealth CRD: 142583 | - | 0 | 2 | - | Unknown |
| Ascendant 360 LLC CRD: 322062 | - | 0 | 0 | - | Unknown |
| Ascendant Advisors, LLC CRD: 151127 | - | 0 | 0 | - | Unknown |
| Ascendant Alternative Strategies, LLC CRD: 283881 | - | 2 | 0 | B | INACTIVE |
| Ascendant Biocapital Management Company, L.L.C. CRD: 312643 | - | 0 | 1 | - | Unknown |
| Ascendant Capital Partners LP CRD: 306257 | - | 0 | 1 | - | Unknown |
| Ascendant Capital Research, Ltd. CRD: 284601 | - | 0 | 2 | - | Unknown |
| Ascendant Wealth Management CRD: 145098 | - | 0 | 0 | - | Unknown |
| Ascende Wealth Advisers, Inc. CRD: 155768 | - | 0 | 0 | - | Unknown |
| Ascending Assets CRD: 291852 | - | 0 | 1 | - | Unknown |
| Ascendo Ventures, LLC CRD: 334147 | - | 0 | 1 | - | Unknown |
| Ascendor Wealth, LLC CRD: 148969 | - | 0 | 4 | - | Unknown |