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 |
|---|---|---|---|---|---|
| Asesoria Financiera Independiente, Inc. CRD: 152439 | - | 0 | 1 | - | Unknown |
| ASG Advisory, LLC CRD: 330132 | - | 0 | 0 | - | Unknown |
| ASG Capital CRD: 149013 | - | 0 | 3 | - | Unknown |
| ASG Securities, Inc. CRD: 44534 | - | 2 | 0 | B | INACTIVE |
| Asgard Asset Management a/S CRD: 324667 | - | 0 | 0 | - | Unknown |
| Asgard Securities, LLC CRD: 293771 | - | 0 | 0 | A | INACTIVE |
| ASH Capital LLC CRD: 289480 | - | 0 | 0 | - | Unknown |
| ASH Financial Corp. CRD: 24990 | - | 0 | 0 | A | INACTIVE |
| ASH Park Capital LLP CRD: 175154 | - | 0 | 0 | - | Unknown |
| Ashbay Capital, LLC CRD: 168788 | - | 0 | 1 | - | Unknown |
| Ashburton Investments CRD: 169625 | - | 0 | 0 | - | Unknown |
| Ashbury Heights Capital, LLC CRD: 150203 | - | 0 | 0 | - | Unknown |
| Ashcraft Wealth Advisors LLC CRD: 173658 | - | 0 | 1 | - | Unknown |
| Ashcroft Green Advisors, LLC CRD: 340587 | - | 0 | 1 | - | Unknown |
| Ashcroft Partners LLC CRD: 333962 | - | 0 | 1 | - | Unknown |
| Ashdon Investment Management, LLC CRD: 130180 | - | 0 | 2 | - | Unknown |
| Ashe Benefits 401(K) Advisory Services, Ltd. CRD: 289513 | - | 0 | 1 | - | Unknown |
| Asher Bros. LLC CRD: 149851 | - | 0 | 0 | A | INACTIVE |
| Asher Levi Financial CRD: 306617 | - | 0 | 0 | - | Unknown |
| Asher Portfolio Advisors, Inc. CRD: 152417 | - | 0 | 0 | - | Unknown |
| Asheri Grove Financial Planning CRD: 341914 | - | 0 | 1 | - | Unknown |
| Ashfield Capital Partners CRD: 142580 | - | 0 | 0 | - | Unknown |
| Ashford Advisors, LLC CRD: 114238 | - | 0 | 1 | - | Unknown |
| Ashford Capital Corporation CRD: 14715 | - | 0 | 0 | A | INACTIVE |
| Ashford Investment Advisors CRD: 141587 | - | 0 | 1 | - | Unknown |
| Ashford Securities Corporation CRD: 14172 | - | 0 | 0 | A | INACTIVE |
| Ashford Securities LLC CRD: 305330 | - | 0 | 0 | A | INACTIVE |
| Ashgrove Capital LLP CRD: 318191 | - | 0 | 0 | - | Unknown |
| Ashgrove Specialty Lending Fund I (GP) S.A.R.L. CRD: 318194 | - | 0 | 0 | - | Unknown |
| Ashland Advisors PLLC CRD: 319577 | - | 0 | 1 | - | Unknown |
| Ashland Global Securities, LLC CRD: 26552 | - | 1 | 0 | B | INACTIVE |
| Ashland Heights Capital Management, LLC CRD: 284375 | - | 0 | 0 | - | Unknown |
| Ashland Investment Advisers CRD: 139525 | - | 0 | 0 | - | Unknown |
| Ashland Securities, LLC CRD: 297523 | - | 0 | 0 | A | INACTIVE |
| Ashlee Patten Group, LLC CRD: 167675 | - | 0 | 0 | - | Unknown |
| Ashlock Financial Services CRD: 148928 | - | 0 | 0 | - | Unknown |
| Ashmore Equities Investment Management (US) LLC CRD: 104776 | - | 0 | 0 | - | Unknown |
| Ashmore Investment Advisors Limited CRD: 170303 | - | 0 | 0 | - | Unknown |
| Ashmore Investment Management (US) Corporation CRD: 152920 | NY | 0 | 2 | A | Active |
| Ashoka Whiteoak Capital PTE. Ltd. CRD: 299712 | - | 0 | 0 | - | Unknown |
| Ashraf Capital Corp. CRD: 42611 | - | 3 | 0 | C | INACTIVE |
| Ashram Capital LLC CRD: 342035 | - | 0 | 1 | - | Unknown |
| Ashton & Co. CRD: 609 | - | 0 | 0 | A | INACTIVE |
| Ashton Capital Inc. CRD: 13982 | - | 0 | 0 | A | INACTIVE |
| Ashton Capital, LLC CRD: 329584 | - | 0 | 1 | - | Unknown |
| Ashton Gray Capital, LLC CRD: 333087 | - | 0 | 0 | - | Unknown |
| Ashton Royce & Co. CRD: 147671 | - | 0 | 1 | - | Unknown |
| Ashton Stewart & Co., Inc. CRD: 112386 | FL | 0 | 2 | A | Active |
| Ashton Stewart Advisory Services CRD: 168134 | - | 0 | 0 | - | Unknown |
| Ashton Thomas Advisors LLC CRD: 329492 | - | 0 | 0 | - | Unknown |