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 |
|---|---|---|---|---|---|
| Periscope Capital CRD: 322913 | - | 0 | 0 | - | Unknown |
| Periscope Equity LLC CRD: 290326 | - | 0 | 1 | - | Unknown |
| Perissos Private Wealth Management CRD: 217514 | - | 0 | 3 | - | Unknown |
| Peritus Asset Management, LLC CRD: 131327 | - | 0 | 0 | - | Unknown |
| Peritus Capital, LLC CRD: 310736 | NY | 0 | 1 | A | Active |
| Periwinkle Trading LLC CRD: 298876 | - | 0 | 1 | - | Unknown |
| Perk Planning CRD: 166369 | - | 0 | 2 | - | Unknown |
| Perkins & Partners, Inc. CRD: 17976 | - | 0 | 0 | A | INACTIVE |
| Perkins Fund Marketing, L.L.C. CRD: 45642 | FL | 1 | 3 | B | Active |
| Perkins Investment Management LLC CRD: 126925 | - | 0 | 0 | - | Unknown |
| Perkins Wealth Advantage CRD: 318671 | - | 0 | 1 | - | Unknown |
| Perkins, George W. II CRD: 139889 | - | 0 | 0 | - | Unknown |
| Perkins, Smart & Boyd, Inc. CRD: 7221 | - | 1 | 0 | B | INACTIVE |
| Perlberg Falkenberg Investment Management Inc CRD: 124618 | - | 0 | 0 | - | Unknown |
| Perlinrock LLC CRD: 283038 | - | 0 | 0 | - | Unknown |
| Perlman Securities, L.L.C. CRD: 124410 | - | 0 | 0 | A | INACTIVE |
| Perlmutter Advisors LLC CRD: 155019 | - | 0 | 0 | - | Unknown |
| Perlmutter, Laurence M. CRD: 147734 | - | 0 | 1 | - | Unknown |
| Perlus Investment Management LLP CRD: 164504 | - | 0 | 0 | - | Unknown |
| Permanence Capital LLC CRD: 289577 | - | 0 | 0 | - | Unknown |
| Permanence Capital, LLC CRD: 307448 | - | 0 | 0 | - | Unknown |
| Permanent Capital Ventures Management, LLC CRD: 331374 | - | 0 | 1 | - | Unknown |
| Permanent Equity GP CRD: 301370 | - | 0 | 0 | - | Unknown |
| Permanent Equity Management CRD: 309530 | - | 0 | 1 | - | Unknown |
| Permanent Value Inc. CRD: 118024 | - | 0 | 0 | - | Unknown |
| Permanent Ventures GP LLC CRD: 315119 | - | 0 | 1 | - | Unknown |
| Permcap Investment Office CRD: 157476 | - | 0 | 1 | - | Unknown |
| Permian CRD: 156893 | - | 0 | 2 | - | Unknown |
| Permian Capital I, LLC CRD: 172652 | - | 0 | 1 | - | Unknown |
| Permian Capital LLC CRD: 296979 | - | 0 | 0 | - | Unknown |
| Permian Capital LLC CRD: 341549 | - | 0 | 1 | - | Unknown |
| Permira Credit Limited CRD: 162394 | - | 0 | 0 | - | Unknown |
| Permira Credit LLC CRD: 330996 | - | 0 | 1 | - | Unknown |
| Permira Europe B.V. CRD: 163379 | - | 0 | 0 | - | Unknown |
| Permit Capital Advisors, LLC CRD: 157723 | - | 0 | 0 | - | Unknown |
| Permit Capital, LLC CRD: 138436 | - | 0 | 1 | - | Unknown |
| Peroni Portfolio Advisors, Inc. CRD: 281573 | - | 0 | 2 | - | Unknown |
| Perpetua CRD: 315222 | - | 0 | 0 | - | Unknown |
| Perpetual Americas Funds Distributors, LLC CRD: 143809 | ME | 0 | 14 | A | Active |
| Perpetual Capital Advisors, LLC CRD: 288594 | - | 0 | 1 | - | Unknown |
| Perpetual Financial CRD: 128049 | - | 0 | 2 | - | Unknown |
| Perpetual Polymerase Capital LLC CRD: 335647 | - | 0 | 0 | - | Unknown |
| Perpetual Securities, Inc. CRD: 36841 | - | 7 | 0 | D | INACTIVE |
| Perpetual Wealth Advisors, L.L.C. CRD: 143864 | - | 0 | 1 | - | Unknown |
| Perpetuate Capital LLC CRD: 313810 | - | 0 | 0 | - | Unknown |
| Perpetuity CRD: 105555 | - | 0 | 0 | - | Unknown |
| Perr Realty Investors, Inc. CRD: 25874 | - | 0 | 0 | A | INACTIVE |
| Perrone, Leonard Benson II CRD: 113603 | - | 0 | 0 | - | Unknown |
| Perrott, Mather & Gilday, Inc. CRD: 38186 | - | 1 | 0 | B | INACTIVE |
| Perry B. Seiffert Investment Management CRD: 121237 | - | 0 | 0 | - | Unknown |