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 |
|---|---|---|---|---|---|
| 44 Wealth Management LLC CRD: 309647 | - | 0 | 1 | - | Unknown |
| 440 Investment Group, LLC CRD: 155399 | - | 0 | 0 | - | Unknown |
| 442 Capital PTY Ltd CRD: 334382 | - | 0 | 0 | - | Unknown |
| 444 Management Services, LLC CRD: 320741 | - | 0 | 1 | - | Unknown |
| 4490 Ventures CRD: 174389 | - | 0 | 1 | - | Unknown |
| 45 Capital Management CRD: 285385 | - | 0 | 0 | - | Unknown |
| 45North Partners CRD: 304921 | - | 0 | 2 | - | Unknown |
| 46 & 2 Wealth Partners LLC CRD: 300377 | - | 0 | 0 | - | Unknown |
| 46 and 2 Investment Advisors, LLC CRD: 169617 | - | 0 | 1 | - | Unknown |
| 46 East, LLC CRD: 47357 | - | 0 | 0 | A | INACTIVE |
| 46 North Financial CRD: 338325 | - | 0 | 1 | - | Unknown |
| 46 Peaks Investment Advisory Group CRD: 306902 | - | 0 | 1 | - | Unknown |
| 4612 Group, LLC CRD: 287619 | - | 0 | 1 | - | Unknown |
| 464 Capital Partners, LLC CRD: 335354 | - | 0 | 0 | - | Unknown |
| 468 Management GMBH CRD: 310214 | - | 0 | 0 | - | Unknown |
| 4779 Capital LLC CRD: 328525 | - | 0 | 1 | - | Unknown |
| 47TH Street Partners Management LLC CRD: 322318 | - | 0 | 1 | - | Unknown |
| 48 Peaks Wealth Advisors LLC CRD: 313956 | - | 0 | 2 | - | Unknown |
| 49 Financial CRD: 319484 | - | 0 | 96 | - | Unknown |
| 49 Palms Ventures CRD: 339401 | - | 0 | 0 | - | Unknown |
| 49ERS Enterprises II CRD: 318428 | - | 0 | 0 | - | Unknown |
| 49ERS Enterprises LLC CRD: 299171 | - | 0 | 0 | - | Unknown |
| 49TH Parallel Wealth Management CRD: 332829 | - | 0 | 1 | - | Unknown |
| 4:8 Financial CRD: 335831 | - | 0 | 1 | - | Unknown |
| 4Alphas Capital LLC CRD: 281565 | - | 0 | 1 | - | Unknown |
| 4BIO Partners LLP CRD: 314372 | - | 0 | 0 | - | Unknown |
| 4D Advisors, LLC CRD: 315045 | - | 0 | 1 | - | Unknown |
| 4D Financial Advisors, LLC CRD: 162473 | - | 0 | 1 | - | Unknown |
| 4D Global Energy Advisors SAS CRD: 162825 | - | 0 | 0 | - | Unknown |
| 4D TAX and Financial Planning, LLC. CRD: 170159 | - | 0 | 0 | - | Unknown |
| 4DX Ventures CRD: 308978 | - | 0 | 1 | - | Unknown |
| 4FI Management GMBH CRD: 325018 | - | 0 | 0 | - | Unknown |
| 4G Financial, Inc. CRD: 15904 | - | 0 | 0 | A | INACTIVE |
| 4J Wealth Management, LLC CRD: 297268 | - | 0 | 5 | - | Unknown |
| 4LB Investments, LLC CRD: 121244 | - | 0 | 2 | - | Unknown |
| 4M Capital Management CRD: 284640 | - | 0 | 0 | - | Unknown |
| 4M Management Partners, LLC CRD: 329024 | - | 0 | 0 | - | Unknown |
| 4Point9 Capital Advisors LLP CRD: 309107 | - | 0 | 0 | - | Unknown |
| 4Rivers Wealth Management LLC CRD: 306414 | - | 0 | 0 | - | Unknown |
| 4S Fund Management LLC CRD: 324505 | - | 0 | 1 | - | Unknown |
| 4Sight Advisors LLC CRD: 287523 | - | 0 | 3 | - | Unknown |
| 4Square Advisory Services, Inc. CRD: 177526 | - | 0 | 1 | - | Unknown |
| 4TH River Financial Group, Inc. CRD: 149058 | - | 0 | 1 | - | Unknown |
| 4Thought Financial Group Inc. CRD: 162997 | - | 0 | 3 | - | Unknown |
| 4Wealth Advisors, Inc. CRD: 129727 | - | 0 | 6 | - | Unknown |
| 4X4 Capital CRD: 316647 | - | 0 | 1 | - | Unknown |
| 5 Arch Asset Management, LLC CRD: 170045 | - | 0 | 0 | - | Unknown |
| 5 Points Wealth CRD: 316183 | - | 0 | 0 | - | Unknown |
| 5 Star Investing CRD: 155479 | - | 0 | 2 | - | Unknown |
| 5 Stone Financial Group, LLC CRD: 315004 | - | 0 | 2 | - | Unknown |