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 |
|---|---|---|---|---|---|
| Pine Haven Investment Counsel, Inc. CRD: 129365 | - | 0 | 2 | - | Unknown |
| Pine Ridge Advisers LLC CRD: 296362 | - | 0 | 1 | - | Unknown |
| Pine Ridge Wealth LLC CRD: 327881 | - | 0 | 2 | - | Unknown |
| Pine River Capital Management L.P. CRD: 133720 | - | 0 | 1 | - | Unknown |
| Pine Road Asset Management LLC CRD: 163841 | - | 0 | 1 | - | Unknown |
| Pine Securities USA LLC CRD: 161289 | - | 0 | 0 | A | INACTIVE |
| Pine Street Alternative Asset Management LP CRD: 156526 | - | 0 | 0 | - | Unknown |
| Pine Street Partners, L.P. CRD: 17775 | - | 0 | 0 | A | INACTIVE |
| Pine to Palm Financial, LLC CRD: 335396 | - | 0 | 1 | - | Unknown |
| Pine Tree Equity Management IV, LP CRD: 308440 | - | 0 | 1 | - | Unknown |
| Pine Tree Equity Management, LP CRD: 166923 | - | 0 | 0 | - | Unknown |
| Pine Tree Financial Services, Inc. CRD: 117920 | - | 0 | 2 | - | Unknown |
| Pine Valley Capital Partners LLC CRD: 330556 | - | 0 | 1 | - | Unknown |
| Pine Valley Investments CRD: 173995 | - | 0 | 6 | - | Unknown |
| Pine Valley Private Wealth CRD: 289533 | - | 0 | 1 | - | Unknown |
| Pineapple Financial CRD: 298894 | - | 0 | 1 | - | Unknown |
| Pinebridge Benson Elliot CRD: 161857 | - | 0 | 0 | - | Unknown |
| Pinebridge Investments Europe Limited CRD: 161911 | - | 0 | 0 | - | Unknown |
| Pinebridge Investments LLC CRD: 285211 | - | 0 | 1 | - | Unknown |
| Pinebridge Securities LLC CRD: 5967 | NY | 0 | 2 | A | Active |
| Pinecone Financial CRD: 310282 | - | 0 | 2 | - | Unknown |
| Pinecrest Advisors CRD: 329783 | - | 0 | 1 | - | Unknown |
| Pineda, Rowel Gacula CRD: 42683 | - | 0 | 0 | A | INACTIVE |
| Pinedo Financial Services CRD: 149450 | - | 0 | 2 | - | Unknown |
| Pinegrove Opportunity Partners LLC CRD: 328970 | - | 0 | 0 | - | Unknown |
| Pinegrove Opportunity Partners, LLC CRD: 170811 | - | 0 | 1 | - | Unknown |
| Pinegrove Venture Partners, LLC CRD: 326747 | - | 0 | 1 | - | Unknown |
| Pinehurst Capital CRD: 171964 | - | 0 | 0 | - | Unknown |
| Pinelight Financial PLLC CRD: 323153 | - | 0 | 3 | - | Unknown |
| Pinepoint Financial CRD: 298299 | - | 0 | 0 | - | Unknown |
| Pineridge Capital LLC CRD: 136588 | - | 0 | 0 | A | INACTIVE |
| Pinerock Financial CRD: 285642 | - | 0 | 0 | - | Unknown |
| Pines Wealth Management, LLC CRD: 130487 | - | 0 | 0 | - | Unknown |
| Pinestone Asset Management Inc. CRD: 317431 | - | 0 | 0 | - | Unknown |
| Pinestream Financial CRD: 125228 | - | 0 | 0 | - | Unknown |
| Pinetree Advisors Corp. CRD: 299275 | - | 0 | 1 | - | Unknown |
| Pinetree Meembay Investment Management LLC CRD: 343460 | - | 0 | 1 | - | Unknown |
| Pinewood Securities, Corp. CRD: 32312 | - | 0 | 0 | A | INACTIVE |
| Piney Lake Capital Management LP CRD: 290404 | - | 0 | 1 | - | Unknown |
| Ping an of China Asset Management (Hong Kong) Comp… CRD: 329294 | - | 0 | 0 | - | Unknown |
| Ping an Overseas Investment Management Company Lim… CRD: 304394 | - | 0 | 0 | - | Unknown |
| Ping an Voyager Partners CRD: 314066 | - | 0 | 0 | - | Unknown |
| Ping Capital Management, Inc. CRD: 156234 | - | 0 | 0 | - | Unknown |
| Pingora Asset Management, LLC CRD: 166257 | - | 0 | 0 | - | Unknown |
| Pingora Partners LLC CRD: 148262 | - | 0 | 2 | - | Unknown |
| Pinhook Capital, LLC CRD: 158509 | - | 0 | 0 | - | Unknown |
| Pinion Investments CRD: 171885 | - | 0 | 0 | - | Unknown |
| Pinion Wealth Management, LLC CRD: 114556 | - | 0 | 8 | - | Unknown |
| Pink Planning CRD: 342141 | - | 0 | 1 | - | Unknown |
| Pinkerton Wealth Partners CRD: 120973 | - | 0 | 8 | - | Unknown |