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 |
|---|---|---|---|---|---|
| Peak Brokerage Services, LLC CRD: 157045 | FL | 1 | 55 | B | Active |
| Peak Capital Advisors CRD: 313096 | - | 0 | 1 | - | Unknown |
| Peak Capital Management CRD: 144600 | - | 0 | 1 | - | Unknown |
| Peak Capital Research and Management, LLC CRD: 284235 | - | 0 | 0 | - | Unknown |
| Peak Carbon Capital Management LLC CRD: 298568 | - | 0 | 0 | - | Unknown |
| Peak Carbon Fund I GP, LLC CRD: 298907 | - | 0 | 0 | - | Unknown |
| Peak Financial Advisors CRD: 115207 | - | 0 | 2 | - | Unknown |
| Peak Financial Future CRD: 291549 | - | 0 | 0 | - | Unknown |
| Peak Financial Guidance LLC CRD: 305485 | - | 0 | 1 | - | Unknown |
| Peak Financial Partners, LLC CRD: 147345 | - | 0 | 1 | - | Unknown |
| Peak Financial Planning CRD: 317288 | - | 0 | 4 | - | Unknown |
| Peak Financial Planning, LLC CRD: 288338 | - | 0 | 0 | - | Unknown |
| Peak Financial Services, Inc. CRD: 282186 | - | 0 | 0 | - | Unknown |
| Peak Horizons Capital CRD: 339560 | - | 0 | 1 | - | Unknown |
| Peak Investment Advisors CRD: 118612 | - | 0 | 0 | - | Unknown |
| Peak Investment Advisors, Inc. CRD: 117875 | - | 0 | 1 | - | Unknown |
| Peak Investment Advisors, Inc. CRD: 113967 | - | 0 | 2 | - | Unknown |
| Peak Investments CRD: 115632 | - | 0 | 1 | - | Unknown |
| Peak Investments, Inc. CRD: 13732 | - | 0 | 0 | A | INACTIVE |
| Peak Planning Group, LLC CRD: 289891 | - | 0 | 7 | - | Unknown |
| Peak Point Capital Management, LLC CRD: 169315 | - | 0 | 0 | - | Unknown |
| Peak Retirement Planning, Inc. CRD: 317592 | - | 0 | 1 | - | Unknown |
| Peak Rock Capital LLC CRD: 165138 | - | 0 | 1 | - | Unknown |
| Peak Securities Corp. CRD: 18474 | - | 0 | 0 | A | INACTIVE |
| Peak TEN Capital LLC CRD: 162228 | - | 0 | 1 | - | Unknown |
| Peak Venture Holdings, LLC CRD: 304984 | - | 0 | 0 | - | Unknown |
| Peak Wealth Advisors, Inc. CRD: 149922 | - | 0 | 1 | - | Unknown |
| Peak Wealth Advisors, LLC CRD: 173574 | - | 0 | 0 | - | Unknown |
| Peak Wealth Group LLC CRD: 150003 | - | 0 | 2 | - | Unknown |
| Peak Wealth Management CRD: 332411 | - | 0 | 1 | - | Unknown |
| Peak Wealth Management LLC CRD: 281036 | - | 0 | 4 | - | Unknown |
| Peak Wealth Management, LLC CRD: 144199 | - | 0 | 0 | - | Unknown |
| Peak Wealth Management, LLC CRD: 166944 | - | 0 | 1 | - | Unknown |
| Peak Wealth Planning, LLC CRD: 170262 | - | 0 | 3 | - | Unknown |
| Peak Wealth Solutions CRD: 127391 | - | 0 | 1 | - | Unknown |
| Peak XV Partners I LLC CRD: 163626 | - | 0 | 0 | - | Unknown |
| Peak XV Partners Operations LLC CRD: 305299 | - | 0 | 0 | - | Unknown |
| Peak53 Partners, LP CRD: 318538 | - | 0 | 1 | - | Unknown |
| Peak6 Performance Management LLC CRD: 137368 | - | 0 | 0 | A | INACTIVE |
| Peak6 Vega Master Fund LLC CRD: 158878 | - | 1 | 0 | B | INACTIVE |
| Peakequity Partners Management Co., L.L.C. CRD: 281131 | - | 0 | 1 | - | Unknown |
| Peakline Partners, LLC CRD: 306449 | - | 0 | 2 | - | Unknown |
| Peaks Investment Management CRD: 330144 | - | 0 | 2 | - | Unknown |
| Peakshares LLC CRD: 329193 | - | 0 | 1 | - | Unknown |
| Peakside Capital Advisors AG CRD: 161931 | - | 0 | 0 | - | Unknown |
| Peakstone Securities, LLC CRD: 157146 | IL | 0 | 3 | A | Active |
| Peakvalley Wealth, LLC CRD: 165542 | - | 0 | 2 | - | Unknown |
| Peakview Capital CRD: 287567 | - | 0 | 0 | - | Unknown |
| Peakview Capital CRD: 305663 | - | 0 | 1 | - | Unknown |
| Peakview Strategies CRD: 318488 | - | 0 | 1 | - | Unknown |