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 |
|---|---|---|---|---|---|
| Pension Partners, LLC CRD: 125772 | - | 0 | 2 | - | Unknown |
| Pension Planners Securities, Inc. CRD: 14068 | - | 1 | 0 | B | INACTIVE |
| Pension Planning Solutions, Inc. CRD: 126393 | - | 0 | 1 | - | Unknown |
| Pension Securities, Inc. CRD: 28159 | - | 0 | 0 | A | INACTIVE |
| Pension Securities, Inc. CRD: 6805 | - | 0 | 0 | A | INACTIVE |
| Pension Service Associates Securities CRD: 29919 | - | 0 | 0 | A | INACTIVE |
| Pensionassets, LLC CRD: 147378 | - | 0 | 0 | - | Unknown |
| Pensionbee CRD: 331741 | - | 0 | 0 | - | Unknown |
| Pensions Plus, Inc. CRD: 15677 | - | 0 | 0 | A | INACTIVE |
| Penso Advisors, LLC CRD: 158297 | - | 0 | 1 | - | Unknown |
| Penson Execution Services, Inc. CRD: 115294 | - | 0 | 0 | A | INACTIVE |
| Penson Financial Services, Inc. CRD: 25866 | - | 33 | 0 | F | INACTIVE |
| Penstar Trading, LLC CRD: 103719 | - | 1 | 0 | B | INACTIVE |
| Penstock Equity Management LLC CRD: 340947 | - | 0 | 1 | - | Unknown |
| Penta Capital LLP CRD: 161412 | - | 0 | 0 | - | Unknown |
| Penta Capital, LLC CRD: 166627 | - | 0 | 0 | - | Unknown |
| Penta Family Office SA CRD: 282402 | - | 0 | 0 | - | Unknown |
| Pentad Real Estate Investments, Inc. CRD: 10363 | - | 3 | 0 | C | INACTIVE |
| Pentad Securities, Inc. CRD: 15161 | - | 8 | 0 | D | INACTIVE |
| Pentagreen Capital Fund Management PTE. Ltd. CRD: 333782 | - | 0 | 0 | - | Unknown |
| Pentalpha Capital Group CRD: 122680 | - | 0 | 0 | - | Unknown |
| Pentalpha Capital, LLC CRD: 40393 | - | 0 | 0 | A | INACTIVE |
| Pentegra Distributors Inc. CRD: 26249 | CT | 1 | 2 | B | Active |
| Pentegra Investors, Inc. CRD: 111503 | - | 0 | 2 | - | Unknown |
| Pentium Invest, LLC CRD: 328268 | - | 0 | 0 | - | Unknown |
| Pento Portfolio Strategies, LLC CRD: 159217 | - | 0 | 1 | - | Unknown |
| Pentron Securities Corp. CRD: 13601 | - | 0 | 0 | A | INACTIVE |
| Pentrust Real Estate Advisory Services, Inc. CRD: 281701 | - | 0 | 0 | - | Unknown |
| Pentsao Advisors LLC CRD: 322298 | - | 0 | 1 | - | Unknown |
| Pentwater Capital Management LP CRD: 156873 | - | 0 | 1 | - | Unknown |
| Penvest Securities, Inc. CRD: 23436 | - | 1 | 0 | B | INACTIVE |
| Penwood Real Estate Investment Management, LLC CRD: 130289 | - | 0 | 1 | - | Unknown |
| PEO Partners, LLC CRD: 311201 | - | 0 | 1 | - | Unknown |
| People First Financial Advisors CRD: 143919 | - | 0 | 1 | - | Unknown |
| People's Discount Stockbrokers CRD: 28235 | - | 0 | 0 | A | INACTIVE |
| People's Securities, Inc. CRD: 13704 | - | 6 | 0 | C | INACTIVE |
| People's United Advisors, Inc. CRD: 292454 | - | 0 | 0 | - | Unknown |
| Peoples Brokerage Services, Inc. CRD: 18397 | - | 0 | 0 | A | INACTIVE |
| Peoples Discount Brokerage Company CRD: 18243 | - | 0 | 0 | A | INACTIVE |
| Peoples Savings Wealth Management LLC CRD: 328711 | - | 0 | 1 | - | Unknown |
| PEP Advisory LLC CRD: 166636 | TX | 0 | 4 | A | Active |
| PEP Management (Jersey) Limited CRD: 160771 | - | 0 | 0 | - | Unknown |
| Pepco Securities, Inc. CRD: 10336 | - | 0 | 0 | A | INACTIVE |
| Peppertree Partners CRD: 111022 | - | 0 | 0 | - | Unknown |
| Pequot Capital Financial Services CRD: 135548 | - | 0 | 0 | A | INACTIVE |
| Pequot Capital Management Inc CRD: 108686 | - | 0 | 0 | - | Unknown |
| Perbak Capital Partners LLP CRD: 326702 | - | 0 | 0 | - | Unknown |
| Percent Advisors LLC CRD: 318890 | - | 0 | 2 | - | Unknown |
| Percent Fund Advisors CRD: 342432 | - | 0 | 1 | - | Unknown |
| Percent Securities, LLC CRD: 314782 | NY | 1 | 2 | B | Active |