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 |
|---|---|---|---|---|---|
| Asset Management Advisory Group LLC CRD: 140176 | - | 0 | 0 | - | Unknown |
| Asset Management Associates CRD: 119878 | - | 0 | 2 | - | Unknown |
| Asset Management Equities, Ltd. CRD: 21604 | - | 0 | 0 | A | INACTIVE |
| Asset Management Group CRD: 319444 | - | 0 | 2 | - | Unknown |
| Asset Management Group Ltd CRD: 109581 | - | 0 | 0 | - | Unknown |
| Asset Management Group of Bank of Hawaii CRD: 112324 | - | 0 | 1 | - | Unknown |
| Asset Management Group, Inc. CRD: 110116 | - | 0 | 2 | - | Unknown |
| Asset Management International CRD: 110702 | - | 0 | 0 | - | Unknown |
| Asset Management ONE Co., Ltd. CRD: 110843 | - | 0 | 0 | - | Unknown |
| Asset Management ONE USA Inc. CRD: 108982 | - | 0 | 1 | - | Unknown |
| Asset Management Resources, LLC CRD: 145296 | - | 0 | 0 | - | Unknown |
| Asset Management Solutions, LLC DBA Asset Planning… CRD: 124402 | - | 0 | 0 | - | Unknown |
| Asset Management Strategies, Inc. CRD: 135173 | - | 0 | 7 | - | Unknown |
| Asset Management Ventures, LLC CRD: 160606 | - | 0 | 1 | - | Unknown |
| Asset Management, Inc. CRD: 8196 | - | 0 | 0 | A | INACTIVE |
| Asset ONE LLC CRD: 106276 | - | 0 | 0 | - | Unknown |
| Asset ONE Wealth Management, LLC CRD: 336350 | - | 0 | 15 | - | Unknown |
| Asset Planning Services Ltd. CRD: 105727 | - | 0 | 0 | - | Unknown |
| Asset Planning, Inc CRD: 111535 | - | 0 | 1 | - | Unknown |
| Asset Preservation Advisors, LLC CRD: 106741 | - | 0 | 2 | - | Unknown |
| Asset Preservation Group Inc CRD: 108150 | - | 0 | 1 | - | Unknown |
| Asset Preservation Wealth & TAX CRD: 322078 | - | 0 | 0 | - | Unknown |
| Asset Protection Group CRD: 164544 | - | 0 | 1 | - | Unknown |
| Asset Protection Group, LLC CRD: 155394 | - | 0 | 1 | - | Unknown |
| Asset Resurgence Mauritius Manager CRD: 306455 | - | 0 | 0 | - | Unknown |
| Asset Risk Consultants (UK) Limited CRD: 292916 | - | 0 | 0 | - | Unknown |
| Asset Solutions CRD: 120017 | - | 0 | 1 | - | Unknown |
| Asset Solutions, Inc. CRD: 113717 | - | 0 | 3 | - | Unknown |
| Asset Strategies Group, LLC CRD: 152060 | - | 0 | 4 | - | Unknown |
| Asset Strategies Portfolio Services, Inc. CRD: 125040 | - | 0 | 0 | - | Unknown |
| Asset Strategies, Inc CRD: 104512 | - | 0 | 2 | - | Unknown |
| Asset Strategies, Inc. CRD: 119661 | - | 0 | 0 | - | Unknown |
| Asset Strategy Advisors, LLC CRD: 139879 | - | 0 | 1 | - | Unknown |
| Asset Strategy Retirement Plan Consultants, LLC CRD: 147982 | - | 0 | 1 | - | Unknown |
| Asset Value Investors Limited CRD: 137779 | - | 0 | 0 | - | Unknown |
| Asset Watch Financial, Inc. CRD: 13948 | - | 0 | 0 | A | INACTIVE |
| Asset Wealth Advisors, LLC CRD: 153250 | - | 0 | 1 | - | Unknown |
| Assetalign CRD: 329950 | - | 0 | 3 | - | Unknown |
| Assetbuilder, Inc. CRD: 142665 | - | 0 | 1 | - | Unknown |
| Assetfort Advisors LLC CRD: 299149 | - | 0 | 1 | - | Unknown |
| Assetfusion CRD: 332755 | - | 0 | 1 | - | Unknown |
| Assetgrade, LLC CRD: 168779 | - | 0 | 3 | - | Unknown |
| Assetman Securities L.L.C. CRD: 47884 | - | 0 | 0 | A | INACTIVE |
| Assetmark Brokerage, LLC CRD: 169804 | CA | 0 | 6 | A | Active |
| Assetmark Capital Corporation CRD: 37583 | - | 0 | 0 | A | INACTIVE |
| Assetmark, Inc. CRD: 109018 | - | 0 | 193 | - | Unknown |
| Assetpoint Financial, LLC CRD: 168796 | VA | 0 | 2 | A | Active |
| Assets Mondial, LLC CRD: 39079 | - | 1 | 0 | B | INACTIVE |
| Assist FP CRD: 312108 | - | 0 | 1 | - | Unknown |
| Assist Investment Management Company, Inc. CRD: 34902 | - | 0 | 0 | A | INACTIVE |