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 |
|---|---|---|---|---|---|
| Penn North Discount Brokerage Services, Inc. CRD: 16574 | - | 0 | 0 | A | INACTIVE |
| Penn Plaza Brokerage, Ltd. CRD: 22366 | - | 3 | 0 | C | INACTIVE |
| Penn Portfolio Partners LLC CRD: 333736 | - | 0 | 1 | - | Unknown |
| Penn Securities LLC CRD: 315065 | - | 0 | 0 | A | INACTIVE |
| Penn Securities, Inc. CRD: 45622 | - | 0 | 0 | A | INACTIVE |
| Penn Wealth Management CRD: 152948 | - | 0 | 2 | - | Unknown |
| Penn West Securities & Company CRD: 10729 | - | 0 | 0 | A | INACTIVE |
| Penn-Texas Securities Company CRD: 3006 | - | 0 | 0 | A | INACTIVE |
| Pennaluna & Company CRD: 11604 | - | 14 | 0 | D | INACTIVE |
| Pennant Wealth Management LLC CRD: 331948 | - | 0 | 1 | - | Unknown |
| Pennantpark Private Income Fund Advisers LLC CRD: 337750 | - | 0 | 1 | - | Unknown |
| Penner Financial LLC CRD: 134981 | - | 0 | 0 | - | Unknown |
| Penney Financial CRD: 282084 | - | 0 | 3 | - | Unknown |
| Pennfield Capital Corp CRD: 111464 | - | 0 | 1 | - | Unknown |
| Pennhaven Brokerage Partners, LLC CRD: 309708 | PA | 0 | 3 | A | Active |
| Penniall Retirement Advisors CRD: 285096 | - | 0 | 0 | - | Unknown |
| Pennington Investment Bankers, Inc. CRD: 36892 | - | 0 | 0 | A | INACTIVE |
| Pennington Partners & Co., LLC CRD: 282688 | - | 0 | 2 | - | Unknown |
| Pennington/Bass Equities, Inc. CRD: 13765 | - | 0 | 0 | A | INACTIVE |
| Pennmont Securities CRD: 32103 | - | 4 | 0 | C | INACTIVE |
| Penntax Advisory Group, Inc. CRD: 13266 | - | 0 | 0 | A | INACTIVE |
| Penny Earned Financial CRD: 330919 | - | 0 | 1 | - | Unknown |
| Penny JAR Capital, LLC CRD: 317719 | - | 0 | 1 | - | Unknown |
| Penny Lane Wealth Management, LLC CRD: 318918 | - | 0 | 1 | - | Unknown |
| Pennybook TRADE.COM CRD: 103742 | - | 0 | 0 | A | INACTIVE |
| Pennyfarthing Investment Management, L.L.C. CRD: 123006 | - | 0 | 2 | - | Unknown |
| Pennytree Advisors, LLC CRD: 137310 | - | 0 | 0 | - | Unknown |
| Penobscot - MB Partners CRD: 23419 | - | 0 | 0 | A | INACTIVE |
| Penobscot Investment Management Company, Inc. CRD: 105060 | - | 0 | 2 | - | Unknown |
| Penrod Financial Group CRD: 22785 | MO | 3 | 2 | B | Active |
| Pensato Capital LLP CRD: 160194 | - | 0 | 0 | - | Unknown |
| Pensco Pension Services, Inc. CRD: 42079 | - | 0 | 0 | A | INACTIVE |
| Penserra Global Investors LLC CRD: 174309 | - | 0 | 3 | - | Unknown |
| Penserra Securities, LLC CRD: 145994 | CA | 2 | 4 | B | Active |
| Penserra Wealth Management CRD: 333218 | - | 0 | 4 | - | Unknown |
| Pensinger Financial, Inc. CRD: 169718 | - | 0 | 2 | - | Unknown |
| Pension & Wealth Management CRD: 139640 | - | 0 | 0 | - | Unknown |
| Pension Advisory Services, L.L.C. CRD: 141733 | - | 0 | 0 | - | Unknown |
| Pension Architects Advisory Group LLC CRD: 168860 | - | 0 | 0 | - | Unknown |
| Pension Builders and Consultants/Adviceware CRD: 164400 | - | 0 | 0 | - | Unknown |
| Pension CFO, LLC CRD: 309140 | - | 0 | 0 | - | Unknown |
| Pension Consultants Inc CRD: 113914 | - | 0 | 1 | - | Unknown |
| Pension Consulting Alliance, Inc. CRD: 143673 | - | 0 | 0 | - | Unknown |
| Pension Dynamics Securities Corporation CRD: 104081 | - | 0 | 0 | A | INACTIVE |
| Pension Equities Co. CRD: 6252 | - | 0 | 0 | A | INACTIVE |
| Pension Fund Evaluations, Inc. CRD: 10985 | - | 6 | 2 | C | INACTIVE |
| Pension Investments, Inc. CRD: 4203 | - | 0 | 0 | A | INACTIVE |
| Pension Maxima Investment Advisory, Inc. CRD: 144858 | - | 0 | 3 | - | Unknown |
| Pension Parameters Financial Services, Inc. CRD: 110405 | - | 0 | 1 | - | Unknown |
| Pension Partners CRD: 311774 | - | 0 | 0 | - | Unknown |