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 |
|---|---|---|---|---|---|
| Plenty Financial RIA, LLC CRD: 323767 | - | 0 | 0 | - | Unknown |
| Pleso Capital Group, Inc. CRD: 169159 | - | 0 | 0 | - | Unknown |
| Plexus Capital CRD: 310241 | - | 0 | 1 | - | Unknown |
| Plexus Energy Capital, LLC CRD: 138263 | CO | 0 | 2 | A | Active |
| Plexus Group, Inc. CRD: 22101 | - | 0 | 0 | A | INACTIVE |
| PLH Family Office, LLC CRD: 339235 | - | 0 | 1 | - | Unknown |
| Plimsoll Financial Planning, LLC CRD: 285993 | - | 0 | 1 | - | Unknown |
| Plinian Capital CRD: 281571 | - | 0 | 0 | - | Unknown |
| Plinth Capital LP CRD: 305628 | - | 0 | 0 | - | Unknown |
| Plisky Plisky & Co. LLC CRD: 149423 | - | 0 | 0 | - | Unknown |
| PLM Investment Advisers, Inc. CRD: 141399 | - | 0 | 0 | - | Unknown |
| PLM Securities Corp. CRD: 7843 | - | 0 | 0 | A | INACTIVE |
| PLN & Associates, Inc. CRD: 121871 | - | 0 | 0 | - | Unknown |
| Plootus CRD: 314583 | - | 0 | 1 | - | Unknown |
| Plover Securities, Inc. CRD: 22849 | - | 0 | 0 | A | INACTIVE |
| PLP Capital CRD: 38901 | FL | 2 | 2 | B | Active |
| Plug and Play Fund Management I, LLC CRD: 321635 | - | 0 | 1 | - | Unknown |
| Pluit Capital Services, LLC CRD: 342296 | - | 0 | 1 | - | Unknown |
| Plum Alley Management LLC CRD: 299651 | - | 0 | 0 | - | Unknown |
| Plum Capital, LLC CRD: 289343 | - | 0 | 0 | A | INACTIVE |
| Plum Island Partners LLC CRD: 337695 | - | 0 | 1 | - | Unknown |
| Plum Lake Capital, LLC CRD: 313562 | - | 0 | 1 | - | Unknown |
| Plum Pointe Wealth Management CRD: 332618 | - | 0 | 2 | - | Unknown |
| Plum Pointe Wealth Management, Ltd CRD: 284379 | - | 0 | 0 | - | Unknown |
| Plum Seed Management LLC CRD: 284455 | - | 0 | 1 | - | Unknown |
| Plum Street Advisors, LLC CRD: 283917 | - | 0 | 8 | - | Unknown |
| Plumb Financial CRD: 334608 | - | 0 | 1 | - | Unknown |
| Plumpe Investments, LLC CRD: 144643 | - | 0 | 0 | - | Unknown |
| Plumtree Financial Planning CRD: 167853 | - | 0 | 1 | - | Unknown |
| Plunkett & Associates, Inc. CRD: 127176 | - | 0 | 1 | - | Unknown |
| Plunkett, Richard J. CRD: 157180 | - | 0 | 1 | - | Unknown |
| Plural Brokerage LLC CRD: 312549 | FL | 0 | 2 | A | Active |
| Plural Capital CRD: 328314 | - | 0 | 1 | - | Unknown |
| Plural France CRD: 341433 | - | 0 | 0 | - | Unknown |
| Plural UK Management CRD: 322049 | - | 0 | 0 | - | Unknown |
| Plural Ventures Investment Management LLC CRD: 317261 | - | 0 | 1 | - | Unknown |
| Pluribus Labs CRD: 300972 | - | 0 | 0 | - | Unknown |
| Pluris Capital Group, Inc. CRD: 30811 | NY | 3 | 2 | B | Active |
| Plus Capital CRD: 167459 | - | 0 | 1 | - | Unknown |
| Plus Group Wealth Advisors, LLC CRD: 300714 | - | 0 | 1 | - | Unknown |
| Plus Securities LLC CRD: 138299 | - | 0 | 0 | A | INACTIVE |
| Plus Venture Partners, LLC CRD: 299033 | CA | 0 | 2 | A | Active |
| Pluscios Management LLC CRD: 146761 | - | 0 | 1 | - | Unknown |
| Plustick Management LLC CRD: 173707 | - | 0 | 1 | - | Unknown |
| Pluto Wealth Management CRD: 307295 | - | 0 | 1 | - | Unknown |
| Plutonik Wealth Management, LLC CRD: 282465 | - | 0 | 0 | - | Unknown |
| Plutus Wealth Management CRD: 329764 | - | 0 | 1 | - | Unknown |
| Plutus21 Capital Management, L.L.C CRD: 322881 | - | 0 | 1 | - | Unknown |
| Plutus21 Investment Management, L.L.C. CRD: 307920 | - | 0 | 1 | - | Unknown |
| PLW Financial CRD: 291315 | - | 0 | 1 | - | Unknown |