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 |
|---|---|---|---|---|---|
| Personal Financial Profiles Inc CRD: 109327 | - | 0 | 2 | - | Unknown |
| Personal Financial Solutions CRD: 133749 | - | 0 | 0 | - | Unknown |
| Personal Financial Solutions CRD: 132681 | - | 0 | 0 | - | Unknown |
| Personal Financial Specialists CRD: 128736 | - | 0 | 1 | - | Unknown |
| Personal Investment Management Inc CRD: 107829 | - | 0 | 0 | - | Unknown |
| Personal Investment Planning of South Texas CRD: 10139 | - | 0 | 0 | A | INACTIVE |
| Personal Legacy Planners CRD: 153996 | - | 0 | 2 | - | Unknown |
| Personal Money Planning, LLC CRD: 112178 | - | 0 | 1 | - | Unknown |
| Personal Path Financial Planning CRD: 289380 | - | 0 | 1 | - | Unknown |
| Personal Portfolio Management, Inc. CRD: 140975 | - | 0 | 0 | - | Unknown |
| Personal Portfolios, LLC CRD: 116938 | - | 0 | 0 | - | Unknown |
| Personal Prosperity LLC CRD: 313044 | - | 0 | 1 | - | Unknown |
| Personal Value Advisers LLC CRD: 323580 | - | 0 | 0 | - | Unknown |
| Personal Wealth Advisory, LLC CRD: 125259 | - | 0 | 1 | - | Unknown |
| Personal Wealth Partners LLC CRD: 172055 | - | 0 | 0 | - | Unknown |
| Personal Wealth Planning, LLC CRD: 299390 | - | 0 | 1 | - | Unknown |
| Personalized Financial CRD: 316223 | - | 0 | 0 | - | Unknown |
| Personalized Investments,Inc. CRD: 15844 | - | 0 | 0 | A | INACTIVE |
| Personalized Portfolio Management, Inc. CRD: 113089 | - | 0 | 0 | - | Unknown |
| Personalized Retirement Solutions, Inc. CRD: 114632 | - | 0 | 0 | - | Unknown |
| Perspectec Incorporated CRD: 287591 | - | 0 | 0 | - | Unknown |
| Perspective Advisors, LLC CRD: 301811 | - | 0 | 2 | - | Unknown |
| Perspective Capital, LLC CRD: 111346 | - | 0 | 0 | A | INACTIVE |
| Perspective Wealth Advisors CRD: 332574 | - | 0 | 1 | - | Unknown |
| Perspective Wealth Management CRD: 104619 | - | 0 | 1 | - | Unknown |
| Perspective Wealth Partners, LLC CRD: 140330 | - | 0 | 1 | - | Unknown |
| Persson, Richard Alan (JR) CRD: 38963 | - | 0 | 0 | A | INACTIVE |
| Pertento Advisors LLC CRD: 335545 | - | 0 | 0 | - | Unknown |
| Pertento Partners LLP CRD: 317498 | - | 0 | 0 | - | Unknown |
| Perth Advisors LLC CRD: 152080 | NH | 0 | 2 | A | Active |
| Perusa CRD: 163318 | - | 0 | 0 | - | Unknown |
| Petco Trading LLC CRD: 47663 | - | 0 | 0 | A | INACTIVE |
| Pete Mitchell, Inc. CRD: 140026 | - | 0 | 0 | - | Unknown |
| Peter B. Cooper & Associates, Inc. CRD: 8113 | - | 0 | 0 | A | INACTIVE |
| Peter C. Kenny, Inc. CRD: 32742 | - | 0 | 0 | A | INACTIVE |
| Peter DAG & Associates, Inc. CRD: 119762 | - | 0 | 2 | - | Unknown |
| Peter Eliades' Stockmarket Cycles CRD: 125925 | - | 0 | 0 | - | Unknown |
| Peter Francati, Inc. CRD: 7796 | - | 0 | 0 | A | INACTIVE |
| Peter Harrigan CRD: 119104 | - | 0 | 0 | A | INACTIVE |
| Peter J. Lamberti Securities Corp. CRD: 30165 | - | 0 | 0 | A | INACTIVE |
| Peter J. Marcus CRD: 5666 | - | 0 | 0 | A | INACTIVE |
| Peter J. Towle CRD: 114159 | - | 0 | 0 | - | Unknown |
| Peter Jacobson, Sole Proprietor CRD: 119925 | - | 0 | 0 | A | INACTIVE |
| Peter Kimmelman Asset Management LP CRD: 133302 | - | 0 | 1 | - | Unknown |
| Peter L. Pointer Investment Co. CRD: 22486 | - | 0 | 0 | A | INACTIVE |
| Peter LAW Stippich, Registered Investment Advisor CRD: 118015 | - | 0 | 0 | - | Unknown |
| Peter Mancuso & Co L.P. CRD: 33095 | - | 1 | 0 | B | INACTIVE |
| Peter Metcalf Associates CRD: 131727 | - | 0 | 0 | - | Unknown |
| Peter Pesic & Co. Advisors CRD: 166198 | - | 0 | 0 | - | Unknown |
| Peter R Kohli CRD: 159062 | - | 0 | 0 | - | Unknown |