Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Millburn Ridgefield LLC CRD: 148870 | NY | 0 | 3 | A | Active |
| Mint Brokers CRD: 13681 | NY | 2 | 3 | B | Active |
| Mirae Asset Securities (USA) Inc. CRD: 30679 | NY | 10 | 2 | C | Active |
| Mizuho Securities USA LLC CRD: 19647 | NY | 16 | 13 | D | Active |
| MM Global Securities, Inc. CRD: 2509 | NY | 4 | 2 | B | Active |
| MMA Securities LLC CRD: 44254 | NY | 3 | 88 | B | Active |
| MMC Securities LLC CRD: 103846 | NY | 0 | 10 | A | Active |
| MMM Securities LLC CRD: 318021 | NY | 0 | 3 | A | Active |
| Moelis & Company LLC CRD: 145115 | NY | 1 | 13 | C | Active |
| Moment Markets, LLC CRD: 325062 | NY | 0 | 2 | A | Active |
| Momentus Securities LLC CRD: 307780 | NY | 0 | 3 | A | Active |
| Monarch Capital Group, LLC CRD: 47815 | NY | 0 | 3 | A | Active |
| Mondeum Capital CRD: 309574 | NY | 0 | 2 | A | Active |
| MONEY.NET Securities LLC CRD: 317568 | NY | 0 | 2 | A | Active |
| Moneylion Securities LLC CRD: 298395 | NY | 0 | 2 | A | Active |
| Monness Crespi Hardt & Co., Inc. CRD: 7424 | NY | 4 | 2 | B | Active |
| Montec Securities LLC CRD: 309706 | NY | 0 | 2 | A | Active |
| Moonfare Securities USA CRD: 325838 | NY | 0 | 2 | A | Active |
| Morgan Stanley CRD: 149777 | NY | 183 | 3,805 | B | Active |
| Morgan Stanley & Co. LLC CRD: 8209 | NY | 552 | 44 | F | Active |
| Morgan Stanley Distribution, Inc. CRD: 30344 | NY | 0 | 10 | A | Active |
| Mosaic ATS, LLC CRD: 335824 | NY | 0 | 2 | A | Active |
| MPA BD Services LLC CRD: 310290 | NY | 0 | 2 | A | Active |
| MTS Securities, LLC CRD: 104059 | NY | 0 | 3 | A | Active |
| Mufg Securities Americas Inc. CRD: 19685 | NY | 5 | 5 | D | Active |
| Mundial Financial Group, LLC CRD: 149531 | NY | 1 | 2 | B | Active |
| Muriel Siebert & Co., LLC CRD: 5376 | NY | 7 | 16 | B | Active |
| Mutual of America Securities LLC CRD: 27878 | NY | 0 | 26 | A | Active |
| Muzinich Capital LLC CRD: 146017 | NY | 0 | 3 | A | Active |
| Mystic Capital Markets Group, LLC CRD: 159258 | NY | 0 | 3 | A | Active |
| N.A. Investcorp LLC CRD: 134162 | NY | 0 | 3 | A | Active |
| N.B. Zoullas Securities, Inc. CRD: 29419 | NY | 0 | 2 | A | Active |
| Nabsecurities, LLC CRD: 47390 | NY | 0 | 2 | A | Active |
| Nasdaq Capital Markets Advisory LLC CRD: 104295 | NY | 4 | 4 | B | Active |
| Nassau Street Securities, LLC CRD: 339050 | NY | 0 | 1 | A | Active |
| National Bank of Canada Financial Inc. CRD: 22698 | NY | 10 | 8 | B | Active |
| Natixis Securities Americas LLC CRD: 1101 | NY | 17 | 115 | B | Active |
| NCMG LLC CRD: 317428 | NY | 0 | 2 | A | Active |
| Needham & Company, LLC CRD: 16360 | NY | 27 | 11 | D | Active |
| Neuberger Berman BD LLC CRD: 2908 | NY | 25 | 783 | B | Active |
| Newmark Securities, LLC CRD: 309193 | NY | 0 | 3 | A | Active |
| Newoak Capital Markets LLC CRD: 104063 | NY | 0 | 2 | A | Active |
| NFSTX, LLC CRD: 172583 | NY | 0 | 2 | A | Active |
| NGC Financial, LLC CRD: 145082 | NY | 0 | 3 | A | Active |
| NH Investment & Securities America, Inc. CRD: 30660 | NY | 1 | 2 | B | Active |
| Ninth Eternity Securities LLC CRD: 307492 | NY | 0 | 2 | A | Active |
| Nomura Securities International, Inc. CRD: 4297 | NY | 83 | 126 | C | Active |
| Nordea Securities LLC CRD: 292574 | NY | 0 | 2 | A | Active |
| Northern Edge Capital Advisors LLC CRD: 151615 | NY | 0 | 3 | A | Active |
| NPM Securities, LLC CRD: 168469 | NY | 0 | 2 | A | Active |