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 |
|---|---|---|---|---|---|
| Pembroke Ventures LLC CRD: 340440 | - | 0 | 1 | - | Unknown |
| Pembrook Capital Management LLC CRD: 161420 | - | 0 | 1 | - | Unknown |
| Pembrook Securities, Inc. CRD: 18779 | - | 2 | 0 | B | INACTIVE |
| Pemigewasset Capital LLC CRD: 120565 | - | 0 | 0 | - | Unknown |
| PEN Capital, LLC CRD: 339238 | - | 0 | 1 | - | Unknown |
| PEN Facs Financial Services CRD: 114039 | - | 0 | 1 | - | Unknown |
| Penates Group, Inc. CRD: 44266 | - | 1 | 0 | B | INACTIVE |
| Penbay Financial, LLC CRD: 306677 | - | 0 | 0 | - | Unknown |
| Penbrook Management LLC CRD: 127269 | - | 0 | 7 | - | Unknown |
| Pence Financial Group, LLC CRD: 306060 | - | 0 | 0 | - | Unknown |
| Pence Wealth Management, Inc. CRD: 146599 | - | 0 | 0 | - | Unknown |
| Pencey Group CRD: 284326 | - | 0 | 0 | - | Unknown |
| Pendergrass Financial Group CRD: 269827 | - | 0 | 0 | - | Unknown |
| Pendergrast & Co. CRD: 8090 | - | 0 | 0 | A | INACTIVE |
| Pendex Advisors, LLC CRD: 140497 | - | 0 | 2 | - | Unknown |
| Pendlebury Hall Advisors, LLC CRD: 330085 | - | 0 | 1 | - | Unknown |
| Pendo, LLC CRD: 143484 | - | 0 | 0 | - | Unknown |
| Pendrick Reeves Associates, Inc. CRD: 7623 | - | 0 | 0 | A | INACTIVE |
| Pendulum Securities, LLC CRD: 312642 | CA | 0 | 2 | A | Active |
| Pendulum Wealth Partners CRD: 335762 | - | 0 | 1 | - | Unknown |
| Peneco Investments LLC CRD: 108939 | - | 0 | 0 | - | Unknown |
| Penfield Investments LLC CRD: 320883 | - | 0 | 1 | - | Unknown |
| Penfund Prime Management Ltd CRD: 333096 | - | 0 | 0 | - | Unknown |
| Peng, Weida CRD: 136456 | - | 1 | 0 | B | INACTIVE |
| Penhasi, Harry Evan CRD: 42078 | - | 0 | 0 | A | INACTIVE |
| Peninsula Capital Partners, L.L.C. CRD: 157354 | - | 0 | 1 | - | Unknown |
| Peninsula Equity Capital CRD: 329144 | - | 0 | 1 | - | Unknown |
| Peninsula Family Office LLC CRD: 146954 | - | 0 | 0 | - | Unknown |
| Peninsula Ventures CRD: 163517 | - | 0 | 0 | - | Unknown |
| Peninsula Wealth, LLC CRD: 152436 | - | 0 | 0 | - | Unknown |
| Peninsula-JVL Capital Advisors, LLC CRD: 163012 | - | 0 | 0 | - | Unknown |
| Peninsula-KCG GP, LLC CRD: 166780 | - | 0 | 0 | - | Unknown |
| Peninsula-KCG GP, LLC CRD: 307149 | - | 0 | 1 | - | Unknown |
| Penland Legacy Advisors, LLC CRD: 118937 | - | 0 | 0 | - | Unknown |
| Penmar CRD: 339676 | - | 0 | 1 | - | Unknown |
| Penmar Wealth Management LLC CRD: 338462 | - | 0 | 2 | - | Unknown |
| Penn Advisory Group Inc. CRD: 315991 | - | 0 | 3 | - | Unknown |
| Penn American Securities Corporation CRD: 14331 | - | 0 | 0 | A | INACTIVE |
| Penn Capital Financial Services, Inc. CRD: 10640 | - | 0 | 0 | A | INACTIVE |
| Penn Capital Management Company, LLC CRD: 105081 | - | 0 | 2 | - | Unknown |
| Penn Cove Financial, LLC CRD: 137046 | - | 0 | 1 | - | Unknown |
| Penn Davis Mcfarland Inc CRD: 110417 | - | 0 | 2 | - | Unknown |
| Penn Financial Group LLC CRD: 128872 | - | 0 | 0 | - | Unknown |
| Penn Financial Group, Inc. CRD: 47787 | - | 0 | 0 | A | INACTIVE |
| Penn First Advisors CRD: 123356 | - | 0 | 2 | - | Unknown |
| Penn Group Financial Services, Inc. CRD: 122794 | - | 0 | 0 | - | Unknown |
| Penn Investment Advisors, Inc. CRD: 151715 | - | 0 | 0 | - | Unknown |
| Penn Mezzanine CRD: 296874 | - | 0 | 0 | - | Unknown |
| Penn Mezzanine Partners Management, L.P. CRD: 160502 | - | 0 | 0 | - | Unknown |
| Penn Mutual Asset Management, LLC CRD: 107518 | - | 0 | 2 | - | Unknown |