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 |
|---|---|---|---|---|---|
| Aspen Asset Management Inc. CRD: 171124 | - | 0 | 0 | - | Unknown |
| Aspen Capital Advisors Inc. CRD: 284149 | - | 0 | 0 | - | Unknown |
| Aspen Capital Consulting LLC CRD: 296776 | - | 0 | 0 | - | Unknown |
| Aspen Capital Group, Incorporated CRD: 16179 | - | 0 | 0 | A | INACTIVE |
| Aspen Creek Wealth Management, LLC CRD: 160649 | - | 0 | 9 | - | Unknown |
| Aspen Equity Partners, LLC CRD: 104035 | - | 1 | 0 | B | INACTIVE |
| Aspen Financial, Inc. CRD: 175191 | - | 0 | 1 | - | Unknown |
| Aspen Gold Financial CRD: 297297 | - | 0 | 1 | - | Unknown |
| Aspen Grove Capital, LLC CRD: 158166 | - | 0 | 7 | - | Unknown |
| Aspen Highland Management, LLC CRD: 286016 | - | 0 | 0 | - | Unknown |
| Aspen Investment Management Inc. CRD: 112081 | - | 0 | 1 | - | Unknown |
| Aspen Partners, Ltd. CRD: 135287 | - | 0 | 0 | - | Unknown |
| Aspen Private Advisors, LLC CRD: 297639 | - | 0 | 3 | - | Unknown |
| Aspen Renewable Investments, L.L.C. CRD: 334812 | - | 0 | 1 | - | Unknown |
| Aspen Ridge Wealth Management, LLC CRD: 333177 | - | 0 | 3 | - | Unknown |
| Aspen River Securities, LLC CRD: 153947 | - | 0 | 0 | A | INACTIVE |
| Aspen Securities Ltd. CRD: 26416 | - | 0 | 0 | A | INACTIVE |
| Aspen Trading, L.L.C CRD: 42516 | - | 5 | 0 | C | INACTIVE |
| Aspen Trail Wealth Management, LLC CRD: 224517 | - | 0 | 2 | - | Unknown |
| Aspen Wealth Advisors LLC CRD: 312204 | - | 0 | 1 | - | Unknown |
| Aspen Wealth Management CRD: 164591 | - | 0 | 0 | - | Unknown |
| Aspen Wealth Management, Inc. CRD: 116061 | - | 0 | 1 | - | Unknown |
| Aspen Wealth Management, LLC CRD: 159594 | - | 0 | 4 | - | Unknown |
| Aspen Wealth Management, LLC CRD: 313212 | - | 0 | 1 | - | Unknown |
| Aspen Wealth Planners LLC CRD: 118324 | - | 0 | 2 | - | Unknown |
| Aspen Wealth Strategies, LLC CRD: 307424 | - | 0 | 1 | - | Unknown |
| Aspen White Investment Management, LLC CRD: 149494 | - | 0 | 0 | - | Unknown |
| Aspen Yorkshire CRD: 137187 | - | 0 | 0 | - | Unknown |
| Aspenridge Wealth Advisors CRD: 337220 | - | 0 | 1 | - | Unknown |
| Aspentree Capital Corporation CRD: 118946 | - | 0 | 1 | - | Unknown |
| Aspera Financial, LLC CRD: 142003 | - | 0 | 1 | - | Unknown |
| Asperatus Capital LLP CRD: 159970 | - | 0 | 0 | - | Unknown |
| Aspex Management (HK) Limited CRD: 300189 | - | 0 | 0 | - | Unknown |
| Aspida 360, Inc. CRD: 154153 | - | 0 | 0 | - | Unknown |
| Aspida Financial Distributors, LLC CRD: 322843 | TX | 0 | 1 | A | Active |
| Aspirant Group CRD: 305426 | - | 0 | 0 | - | Unknown |
| Aspiration Financial LLC CRD: 291904 | - | 0 | 0 | A | INACTIVE |
| Aspiration Fund Adviser, LLC CRD: 169854 | - | 0 | 0 | - | Unknown |
| Aspire Advisors, LLC CRD: 150652 | - | 0 | 2 | - | Unknown |
| Aspire Advisory Services CRD: 129828 | - | 0 | 2 | - | Unknown |
| Aspire Capital Advisors LLC CRD: 298366 | - | 0 | 11 | - | Unknown |
| Aspire Capital LLC CRD: 226552 | - | 0 | 0 | - | Unknown |
| Aspire Financial Advisors, Inc. CRD: 164902 | - | 0 | 1 | - | Unknown |
| Aspire Financial, Inc. CRD: 159581 | - | 0 | 1 | - | Unknown |
| Aspire Growth Partners LLC CRD: 312063 | - | 0 | 4 | - | Unknown |
| Aspire Macro, LLC CRD: 300594 | - | 0 | 0 | - | Unknown |
| Aspire Planning Associates, Inc. CRD: 282179 | - | 0 | 0 | - | Unknown |
| Aspire Private Capital CRD: 154116 | - | 0 | 1 | - | Unknown |
| Aspire Wealth CRD: 307098 | - | 0 | 2 | - | Unknown |
| Aspire Wealth Advisors, LLC CRD: 288151 | - | 0 | 1 | - | Unknown |