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 |
|---|---|---|---|---|---|
| Ashton Thomas Private Wealth CRD: 153902 | - | 0 | 93 | - | Unknown |
| Ashton Thomas Securities, LLC CRD: 16629 | NY | 6 | 31 | B | Active |
| Ashton Young, Inc. CRD: 2827 | - | 2 | 0 | B | INACTIVE |
| Ashwood Advisors CRD: 128811 | - | 0 | 1 | - | Unknown |
| Ashworth Financial CRD: 288917 | - | 0 | 0 | - | Unknown |
| Ashworth Wealth, LLC CRD: 116950 | - | 0 | 1 | - | Unknown |
| ASI Adviser LLC CRD: 304620 | - | 0 | 1 | - | Unknown |
| ASI Financial Services, Inc. CRD: 8296 | - | 0 | 0 | A | INACTIVE |
| ASI Investments, Inc. CRD: 47780 | - | 0 | 0 | A | INACTIVE |
| ASI Wealth Advisors LLC CRD: 165293 | - | 0 | 2 | - | Unknown |
| Asia Alternatives Management LLC CRD: 141481 | - | 0 | 1 | - | Unknown |
| Asia Consumer Asset Management, L.L.C. CRD: 173015 | - | 0 | 0 | - | Unknown |
| Asia Debt Management Hong Kong Limited CRD: 162215 | - | 0 | 0 | - | Unknown |
| Asia Equity Inc. CRD: 37740 | - | 0 | 0 | A | INACTIVE |
| Asia Frontier Capital Ltd. CRD: 168993 | - | 0 | 0 | - | Unknown |
| Asia Global Asset Management, Inc CRD: 141786 | - | 0 | 1 | - | Unknown |
| Asia International Securities, Inc. CRD: 10750 | - | 0 | 0 | A | INACTIVE |
| Asia Lion Capital (Hong Kong) Limited CRD: 283195 | - | 0 | 0 | - | Unknown |
| Asia Mezzanine Capital Advisers Limited CRD: 161716 | - | 0 | 0 | - | Unknown |
| Asia Partners Fund Management PTE. Ltd. CRD: 305065 | - | 0 | 0 | - | Unknown |
| Asia Research & Capital Management (Difc) Limited CRD: 327838 | - | 0 | 0 | - | Unknown |
| Asia2G Capital CRD: 329695 | - | 0 | 1 | - | Unknown |
| Asian Oceanic Securities Inc. CRD: 11792 | - | 0 | 0 | A | INACTIVE |
| Asiel & Co. LLC CRD: 1112 | - | 11 | 0 | D | INACTIVE |
| Asilomar Advisors LLC CRD: 342149 | - | 0 | 1 | - | Unknown |
| Asio Capital LLC CRD: 298326 | - | 0 | 1 | - | Unknown |
| Asiya Asset Management (Cayman) Ltd. CRD: 281967 | - | 0 | 0 | - | Unknown |
| Asiya Investments Hong Kong Limited CRD: 171241 | - | 0 | 0 | - | Unknown |
| ASK Dolly CRD: 337843 | - | 0 | 1 | - | Unknown |
| ASK Investment Advisory Services, LLC CRD: 174241 | - | 0 | 0 | - | Unknown |
| Askar Corp. CRD: 7512 | - | 6 | 0 | D | INACTIVE |
| Askeladden Capital CRD: 282555 | - | 0 | 2 | - | Unknown |
| Asken Financial Planning CRD: 149963 | - | 0 | 0 | - | Unknown |
| Askholly LLC CRD: 312848 | - | 0 | 0 | - | Unknown |
| ASL Capital Markets Inc. CRD: 286115 | CT | 0 | 3 | A | Active |
| ASL Financial, LLC CRD: 115479 | - | 0 | 2 | - | Unknown |
| ASL Management LLC CRD: 282878 | - | 0 | 1 | - | Unknown |
| Aslan House Capital LLP CRD: 305851 | - | 0 | 0 | - | Unknown |
| Aslan Rose LLC CRD: 337741 | - | 0 | 1 | - | Unknown |
| Aspan Capital LLC CRD: 340311 | - | 0 | 2 | - | Unknown |
| Aspect Acquisition Management CRD: 288068 | - | 0 | 1 | - | Unknown |
| Aspect Management, LLC CRD: 175357 | - | 0 | 1 | - | Unknown |
| Aspect Partners, LLC CRD: 307273 | - | 0 | 2 | - | Unknown |
| Aspect Securities, LLC CRD: 138496 | - | 0 | 0 | A | INACTIVE |
| Aspect Wealth Management CRD: 135860 | - | 0 | 0 | - | Unknown |
| Aspen & Pine Asset Management CRD: 341048 | - | 0 | 1 | - | Unknown |
| Aspen Acquisitions Advisor, Inc. CRD: 302106 | - | 0 | 1 | - | Unknown |
| Aspen Affiliates, Inc. CRD: 6901 | - | 0 | 0 | A | INACTIVE |
| Aspen Alpha Advisors, LLC CRD: 324611 | - | 0 | 1 | - | Unknown |
| Aspen Alpine Capital LLC CRD: 309099 | NY | 0 | 2 | A | Active |