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 |
|---|---|---|---|---|---|
| Philip Benson Financial Services CRD: 128578 | - | 0 | 0 | - | Unknown |
| Philip Grant Mcmichael & Company CRD: 19690 | - | 0 | 0 | A | INACTIVE |
| Philip J. Greenblatt Securities Ltd CRD: 14060 | - | 0 | 0 | A | INACTIVE |
| Philip J. Sagan Financial Consulting, Inc. CRD: 130358 | - | 0 | 2 | - | Unknown |
| Philip Jeffrey Mckenna CRD: 113271 | - | 0 | 0 | - | Unknown |
| Philip Layne & Co., Inc. CRD: 10922 | - | 0 | 0 | A | INACTIVE |
| Philip Nordan Hudson Securities, Inc. CRD: 8715 | - | 0 | 0 | A | INACTIVE |
| Philip Vongontard, CFA, LLC CRD: 127938 | - | 0 | 1 | - | Unknown |
| Philipp Capital Advisors CRD: 332817 | - | 0 | 1 | - | Unknown |
| Philipps J. Hook & Associates, Inc. CRD: 10119 | - | 0 | 0 | A | INACTIVE |
| Philips, Appel & Walden, Inc. CRD: 659 | - | 0 | 0 | A | INACTIVE |
| Philleen & Associates CRD: 127534 | - | 0 | 0 | A | INACTIVE |
| Phillimore Investments, LP CRD: 289470 | - | 0 | 0 | - | Unknown |
| Phillip B. White Co., Inc CRD: 300623 | - | 0 | 1 | - | Unknown |
| Phillip Capital Inc. CRD: 173869 | IL | 6 | 2 | C | Active |
| Phillip James Financial Co. CRD: 168228 | - | 0 | 1 | - | Unknown |
| Phillip Louis Trading, Inc. CRD: 19378 | - | 7 | 0 | D | INACTIVE |
| Phillip Todd Wealth Advisors Inc. CRD: 315351 | - | 0 | 0 | - | Unknown |
| Phillips & Company CRD: 35800 | - | 5 | 0 | C | INACTIVE |
| Phillips and Company Advisors LLC CRD: 167214 | - | 0 | 1 | - | Unknown |
| Phillips Capital CRD: 3603 | - | 4 | 0 | C | INACTIVE |
| Phillips Financial CRD: 131344 | - | 0 | 3 | - | Unknown |
| Phillips Financial Services, Inc. CRD: 18294 | - | 0 | 0 | A | INACTIVE |
| Phillips Investments LLC CRD: 309491 | - | 0 | 0 | - | Unknown |
| Phillips Perera and Company Inc. CRD: 14291 | - | 0 | 0 | A | INACTIVE |
| Phillips RAY Capital Management, Inc. CRD: 114408 | - | 0 | 1 | - | Unknown |
| Phillips Securities Corp. CRD: 10149 | - | 0 | 0 | A | INACTIVE |
| Phillips Wealth Planners LLC CRD: 319226 | - | 0 | 1 | - | Unknown |
| Philos & Partners AG CRD: 323552 | - | 0 | 0 | - | Unknown |
| Philosmith Capital Corporation CRD: 162082 | - | 0 | 1 | - | Unknown |
| Philosmith Securities LLC CRD: 281177 | CT | 0 | 2 | A | Active |
| Philosophe Financial CRD: 340361 | - | 0 | 1 | - | Unknown |
| Philosophy Holdings Advisors CRD: 292395 | - | 0 | 0 | - | Unknown |
| Philosophy Management, LLC CRD: 326189 | - | 0 | 1 | - | Unknown |
| Philotimo Ventures, LLC CRD: 340944 | - | 0 | 1 | - | Unknown |
| Philpott Ball & Werner, LLC CRD: 156364 | NC | 0 | 3 | A | Active |
| Phin Capital, Inc. CRD: 300396 | - | 0 | 1 | - | Unknown |
| Phingers and Toze Investments, LLC CRD: 131185 | - | 0 | 2 | - | Unknown |
| PHN Capital Funding Inc. CRD: 26034 | - | 0 | 0 | A | INACTIVE |
| Phobos Asset Management LP CRD: 313970 | - | 0 | 0 | - | Unknown |
| Phobos, LLC CRD: 292170 | - | 0 | 1 | - | Unknown |
| Phoenician Capital LLC CRD: 286033 | - | 0 | 1 | - | Unknown |
| Phoenician Financial Planning, LLC CRD: 281088 | - | 0 | 0 | - | Unknown |
| Phoenician Resources CRD: 304953 | - | 0 | 1 | - | Unknown |
| Phoenix Asset Management Partners Limited CRD: 284936 | - | 0 | 0 | - | Unknown |
| Phoenix Capital Markets, Inc. CRD: 22909 | - | 0 | 0 | A | INACTIVE |
| Phoenix Capital Realty Advisors, LLC CRD: 161129 | - | 0 | 3 | - | Unknown |
| Phoenix Derivatives Group, LLC CRD: 25802 | - | 2 | 0 | B | INACTIVE |
| Phoenix Equity Partners Limited CRD: 162832 | - | 0 | 0 | - | Unknown |
| Phoenix Financial CRD: 283876 | - | 0 | 0 | - | Unknown |