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 |
|---|---|---|---|---|---|
| Ascension Advisors CRD: 337446 | - | 0 | 1 | - | Unknown |
| Ascension Asset Management LLC CRD: 132067 | - | 0 | 0 | - | Unknown |
| Ascension Capital Advisors, Inc. CRD: 109518 | - | 0 | 2 | - | Unknown |
| Ascension Capital Management CRD: 138432 | - | 0 | 0 | - | Unknown |
| Ascension Financial CRD: 134033 | - | 0 | 6 | - | Unknown |
| Ascension Financial Solutions, Inc. CRD: 40670 | - | 3 | 0 | C | INACTIVE |
| Ascension Investment Advisors CRD: 121753 | - | 0 | 0 | - | Unknown |
| Ascension Investment Management CRD: 159767 | - | 0 | 1 | - | Unknown |
| Ascension Ventures CRD: 161371 | - | 0 | 1 | - | Unknown |
| Ascension Wealth Advisors CRD: 281580 | - | 0 | 1 | - | Unknown |
| Ascension Wealth Advisors, LLC CRD: 153802 | - | 0 | 1 | - | Unknown |
| Ascension Wealth Management CRD: 323944 | - | 0 | 1 | - | Unknown |
| Ascension Wealth Partners, LLC CRD: 146451 | - | 0 | 1 | - | Unknown |
| Ascensus Broker Dealer Services, LLC CRD: 36478 | MA | 0 | 5 | A | Active |
| Ascensus Financial Services, LLC. CRD: 147257 | - | 1 | 0 | B | INACTIVE |
| Ascensus Investment Advisors, LLC CRD: 120632 | - | 0 | 37 | - | Unknown |
| Ascensus Securities Corp. CRD: 23367 | - | 0 | 0 | A | INACTIVE |
| Ascent CRD: 315120 | - | 0 | 0 | - | Unknown |
| Ascent Advisors CRD: 335353 | - | 0 | 1 | - | Unknown |
| Ascent Capital CRD: 131423 | - | 0 | 0 | - | Unknown |
| Ascent Capital Advisors (America) LLC CRD: 226540 | - | 0 | 0 | A | INACTIVE |
| Ascent Capital Advisors India Private Limited CRD: 161583 | - | 0 | 0 | - | Unknown |
| Ascent Equity Group, LLC CRD: 313365 | - | 0 | 1 | - | Unknown |
| Ascent Financial Advisors CRD: 154140 | - | 0 | 1 | - | Unknown |
| Ascent Financial Group CRD: 325706 | - | 0 | 1 | - | Unknown |
| Ascent Fintech LLC CRD: 316080 | - | 0 | 1 | - | Unknown |
| Ascent Investment Advisors, LLC CRD: 147277 | - | 0 | 0 | - | Unknown |
| Ascent Investment Advisory, LLC CRD: 292205 | - | 0 | 0 | - | Unknown |
| Ascent IT LLC CRD: 150685 | - | 0 | 0 | - | Unknown |
| Ascent Personal Finance, LLC CRD: 310187 | - | 0 | 0 | - | Unknown |
| Ascent Physician Wealth LLC CRD: 341797 | - | 0 | 1 | - | Unknown |
| Ascent Real Estate Advisors LLC CRD: 163871 | - | 0 | 0 | - | Unknown |
| Ascent Retirement Advisors CRD: 325385 | - | 0 | 1 | - | Unknown |
| Ascent Systematic Advisors LLC CRD: 307199 | - | 0 | 1 | - | Unknown |
| Ascent Venture Partners CRD: 162108 | - | 0 | 1 | - | Unknown |
| Ascent Wealth Management CRD: 305915 | - | 0 | 1 | - | Unknown |
| Ascent Wealth Partners, LLC CRD: 158898 | - | 0 | 5 | - | Unknown |
| Ascenta Capital CRD: 327650 | - | 0 | 1 | - | Unknown |
| Ascentage Advisors, LLC CRD: 135446 | - | 0 | 0 | A | INACTIVE |
| Ascentis Asset Management, LLC CRD: 318126 | - | 0 | 9 | - | Unknown |
| Ascentis Independent Advisors, LLC CRD: 322879 | - | 0 | 49 | - | Unknown |
| Ascentis Wealth Management, LLC CRD: 330923 | - | 0 | 2 | - | Unknown |
| Ascentris CRD: 154814 | - | 0 | 1 | - | Unknown |
| Asch-Dwyer Municipal Securities, L.P. CRD: 24464 | - | 0 | 0 | A | INACTIVE |
| Ascher/Decision Services, Inc. CRD: 10034 | - | 0 | 0 | A | INACTIVE |
| Asco Financial Group, Inc. CRD: 124395 | - | 0 | 2 | - | Unknown |
| Ascribe Capital LLC CRD: 167218 | - | 0 | 0 | - | Unknown |
| Ascribe Management LLC CRD: 160650 | - | 0 | 0 | - | Unknown |
| ASD Financial Services Corp CRD: 124901 | - | 0 | 0 | A | INACTIVE |
| Asempa Wealth Advisors CRD: 328609 | - | 0 | 1 | - | Unknown |