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 |
|---|---|---|---|---|---|
| Paul M. Wendee & Associates, LLC CRD: 119049 | - | 0 | 0 | - | Unknown |
| Paul Marascalco Registered Investment Advisor CRD: 198512 | - | 0 | 1 | - | Unknown |
| Paul Morigi & Company, Inc. CRD: 18524 | - | 0 | 0 | A | INACTIVE |
| Paul P. ST. Onge Company CRD: 31338 | - | 1 | 0 | B | INACTIVE |
| Paul R. Kopey & Associates CRD: 138346 | - | 0 | 1 | - | Unknown |
| Paul R. Ried Financial Group, LLC CRD: 297284 | - | 0 | 1 | - | Unknown |
| Paul R. Walters Financial Planning CRD: 170673 | - | 0 | 0 | - | Unknown |
| Paul R. Williams Investment Advisor CRD: 111780 | - | 0 | 1 | - | Unknown |
| Paul Semonin Real Estate Investments, Inc. CRD: 13156 | - | 0 | 0 | A | INACTIVE |
| Paul T. Aronson Investment Counselor CRD: 125100 | - | 0 | 0 | - | Unknown |
| Paul W. Harvey and Company, Inc. CRD: 15822 | - | 0 | 0 | A | INACTIVE |
| Paul Winkler, Inc. CRD: 119342 | - | 0 | 11 | - | Unknown |
| Paula Traber Financial Services LLC CRD: 285665 | - | 0 | 1 | - | Unknown |
| Pauley Investing, LLC CRD: 162173 | - | 0 | 0 | - | Unknown |
| Pauli & Company, Inc CRD: 24851 | - | 0 | 0 | A | INACTIVE |
| Pauls Real Estate Opportunities RIA, LLC CRD: 159959 | - | 0 | 0 | - | Unknown |
| Paulsen Securities Inc. CRD: 37969 | - | 0 | 0 | A | INACTIVE |
| Paulson & CO.INC. CRD: 127831 | - | 0 | 0 | - | Unknown |
| Paulson Management LP CRD: 138659 | - | 0 | 0 | - | Unknown |
| Paulson Private Wealth LLC CRD: 333973 | - | 0 | 1 | - | Unknown |
| Paulson Wealth Management Inc. CRD: 150374 | - | 0 | 3 | - | Unknown |
| Pavadi Capital CRD: 298368 | - | 0 | 0 | - | Unknown |
| Pave Securities, LLC CRD: 324533 | NY | 0 | 2 | A | Active |
| Pave, LLC CRD: 316172 | - | 0 | 0 | - | Unknown |
| Pavilion Advisory Group Inc. CRD: 137901 | - | 0 | 0 | - | Unknown |
| Pavilion Alternatives Group, LLC CRD: 152903 | - | 0 | 0 | - | Unknown |
| Pavilion Financial Planning CRD: 315349 | - | 0 | 1 | - | Unknown |
| Pavilion Global Markets Inc. CRD: 226700 | - | 0 | 0 | - | Unknown |
| Pavion Blue Capital, LLC CRD: 301968 | - | 0 | 1 | - | Unknown |
| Pavlic Investment Advisors, Inc. CRD: 111246 | - | 0 | 1 | - | Unknown |
| Pawelko, LLC CRD: 288308 | - | 0 | 0 | - | Unknown |
| Pawleys Investment Advisors, LLC CRD: 155199 | - | 0 | 2 | - | Unknown |
| PAX Capital Limited CRD: 343149 | - | 0 | 1 | - | Unknown |
| PAX Clearing Company Limited Partnership CRD: 30688 | - | 0 | 0 | A | INACTIVE |
| PAX Clearing Corporation CRD: 104263 | - | 1 | 0 | B | INACTIVE |
| PAX Ellevate Management LLC CRD: 170485 | - | 0 | 0 | - | Unknown |
| PAX Equity LLC CRD: 304908 | - | 0 | 1 | - | Unknown |
| PAX Financial Group CRD: 284164 | - | 0 | 2 | - | Unknown |
| PAX Horizon Wealth Management, LLC CRD: 339680 | - | 0 | 1 | - | Unknown |
| PAX Magnus Asia-USA, Inc. CRD: 147839 | - | 0 | 0 | A | INACTIVE |
| PAX Momentum CRD: 312015 | - | 0 | 0 | - | Unknown |
| PAX Options CRD: 34738 | - | 0 | 0 | A | INACTIVE |
| PAX Ventures Management, LLC CRD: 336631 | - | 0 | 1 | - | Unknown |
| Paxion Partners LP CRD: 270025 | - | 0 | 0 | - | Unknown |
| Paxmentis Advisors CRD: 127841 | - | 0 | 0 | - | Unknown |
| PAY IT Forward Financial Planning, LLC CRD: 335642 | - | 0 | 1 | - | Unknown |
| Payant Wealth Management Group CRD: 134854 | - | 0 | 0 | - | Unknown |
| Paycheck to Wealth, LLC CRD: 312578 | - | 0 | 1 | - | Unknown |
| Payden & Rygel CRD: 107160 | - | 0 | 10 | - | Unknown |
| Payden & Rygel Distributors CRD: 29868 | CA | 0 | 2 | A | Active |