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 |
|---|---|---|---|---|---|
| Palomar Point Partners, LLC CRD: 290995 | - | 0 | 0 | - | Unknown |
| Palomar Ventures Management, LLC CRD: 160964 | - | 0 | 0 | - | Unknown |
| Palos Management Inc. CRD: 304309 | - | 0 | 0 | - | Unknown |
| Palos Wealth Advisors, LLC CRD: 154671 | - | 0 | 2 | - | Unknown |
| Palouse Capital Management, Inc. CRD: 104573 | - | 0 | 3 | - | Unknown |
| Palrecha Capital, LLC CRD: 320987 | - | 0 | 1 | - | Unknown |
| Palumbo Capital Group, LLC CRD: 334679 | - | 0 | 1 | - | Unknown |
| Palumbo Investments, LLC CRD: 144492 | - | 1 | 0 | B | INACTIVE |
| Palumbo Trading, LLC CRD: 130665 | - | 0 | 0 | A | INACTIVE |
| Palumni VC, LLC CRD: 321066 | - | 0 | 1 | - | Unknown |
| Pama Group Inc. CRD: 107523 | - | 0 | 0 | - | Unknown |
| Pamalican Asset Management US LLC CRD: 335597 | - | 0 | 1 | - | Unknown |
| Pamco Securities and Insurance Services CRD: 11028 | - | 0 | 0 | A | INACTIVE |
| Pamela Krueger and Company, Inc. CRD: 174001 | - | 0 | 1 | - | Unknown |
| Pamela Otten LLC CRD: 156826 | - | 0 | 1 | - | Unknown |
| Pamela Plick Wealth Management LLC CRD: 159126 | - | 0 | 1 | - | Unknown |
| Pamet Advisors LLC CRD: 282730 | - | 0 | 1 | - | Unknown |
| Pamex Securities, L.L.C. CRD: 40948 | - | 0 | 0 | A | INACTIVE |
| Pamfleet China Investment Management II Limited CRD: 308545 | - | 0 | 0 | - | Unknown |
| Pamlico Capital CRD: 157532 | - | 0 | 1 | - | Unknown |
| Pampa Capital CRD: 163477 | - | 0 | 0 | - | Unknown |
| Pampel & Associates, Inc. CRD: 110660 | - | 0 | 2 | - | Unknown |
| Pamplona Capital Management (Monaco) SAM CRD: 304640 | - | 0 | 0 | - | Unknown |
| Pamplona Capital Management (PE) S.L. CRD: 301284 | - | 0 | 0 | - | Unknown |
| Pamplona Credit Opportunities Investments Limited CRD: 160866 | - | 0 | 0 | - | Unknown |
| Pamplona PE Investments Malta Limited CRD: 274029 | - | 0 | 0 | - | Unknown |
| Pamria, LLC CRD: 154027 | - | 0 | 0 | - | Unknown |
| PAN American Securities, Inc. CRD: 20681 | - | 0 | 0 | A | INACTIVE |
| PAN Capital Management LP CRD: 336371 | - | 0 | 1 | - | Unknown |
| PAN GEO Investment Inc CRD: 106007 | - | 0 | 0 | - | Unknown |
| PAN Global Advisers, LLC CRD: 301863 | - | 0 | 1 | - | Unknown |
| PAN Midstream Management LLC CRD: 326732 | - | 0 | 1 | - | Unknown |
| PAN Oceanic Investments, Inc. CRD: 14798 | - | 0 | 0 | A | INACTIVE |
| PAN Reliance Capital Advisors CRD: 152917 | - | 0 | 0 | - | Unknown |
| PAN Resources Management LLC CRD: 322446 | - | 0 | 1 | - | Unknown |
| PAN-American Financial Advisers CRD: 15578 | - | 2 | 0 | B | INACTIVE |
| PAN-West Capital Corp. CRD: 16624 | - | 0 | 0 | A | INACTIVE |
| Panacea Opportunity Fund I GP Company, Ltd. CRD: 319265 | - | 0 | 0 | - | Unknown |
| Panacea Venture Advisors (HK) Limited CRD: 308297 | - | 0 | 0 | - | Unknown |
| Panacea Venture Healthcare Fund GP I, L.P. CRD: 308298 | - | 0 | 0 | - | Unknown |
| Panacea Venture Healthcare Fund II GP Company, Ltd… CRD: 319266 | - | 0 | 0 | - | Unknown |
| Panacea Venture Management Company Ltd. CRD: 301575 | - | 0 | 0 | - | Unknown |
| Panagotacos, Nicholas CRD: 293924 | - | 0 | 1 | - | Unknown |
| Panagram Capital Corporation Adviser, LLC CRD: 326862 | - | 0 | 0 | - | Unknown |
| Panarella Wealth Management LLC CRD: 164181 | - | 0 | 1 | - | Unknown |
| Panattoni Securities, Inc. CRD: 134643 | - | 0 | 0 | A | INACTIVE |
| Panda Power Funds CRD: 159237 | - | 0 | 0 | - | Unknown |
| Pandect Bioventures Management, LLC CRD: 300039 | - | 0 | 1 | - | Unknown |
| Pandi, LLC CRD: 330112 | - | 0 | 1 | - | Unknown |
| Pandolfo Capital, LLC CRD: 148682 | - | 0 | 1 | - | Unknown |