Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| D.M. TRADING LLC CRD: 129749 | — | 0 | 0 | A | INACTIVE |
| D.M. WEALTH MANAGEMENT, INC. CRD: 128194 | — | 0 | 0 | A | Unknown |
| D.P. HILL & CO. CRD: 106394 | — | 0 | 0 | A | Unknown |
| D.R. DWYER & COMPANY CRD: 1490 | — | 0 | 0 | A | INACTIVE |
| D.R. HARRIS & CO. CRD: 150174 | — | 0 | 0 | A | Unknown |
| D.R. SAUL & CO., INC. CRD: 33045 | — | 1 | 0 | F | INACTIVE |
| D.R. SMITH SECURITIES INC. CRD: 14624 | — | 0 | 0 | A | INACTIVE |
| D.S. COOPER & CO. CRD: 8234 | — | 0 | 0 | A | INACTIVE |
| D.S. KENNEDY & CO. CRD: 13208 | — | 0 | 0 | A | INACTIVE |
| D.S. MEYERS & CO., INC. CRD: 13061 | — | 0 | 0 | A | INACTIVE |
| D.W. RICHARDS & CO. CRD: 19828 | — | 0 | 0 | A | INACTIVE |
| D/B/A ATWOOD CAPITAL PARTNERS CRD: 145905 | — | 0 | 0 | A | INACTIVE |
| D/B/A BERGER ADVISORY SERVICES CRD: 110598 | — | 0 | 0 | A | Unknown |
| D/B/A PALAZZO CRD: 156378 | NY | 0 | 1 | A | Active |
| D/B/A THE DAVIS COMPANIES OR DAVIS CRD: 161888 | — | 0 | 0 | A | Unknown |
| D1 CAPITAL PARTNERS L.P. CRD: 297298 | — | 0 | 0 | A | Unknown |
| D2 ASSET MANAGEMENT CRD: 331542 | — | 0 | 0 | A | Unknown |
| D2 CAPITAL MANAGEMENT CRD: 156362 | — | 0 | 0 | A | Unknown |
| D3 ADVISORS LLC CRD: 337401 | — | 0 | 0 | A | Unknown |
| DA CAPITAL LLC CRD: 138023 | — | 0 | 0 | A | Unknown |
| DA CAPITAL LLC CRD: 329028 | — | 0 | 0 | A | Unknown |
| DA INV CRD: 334514 | — | 0 | 0 | A | Unknown |
| DA WEALTH ADVISORS CRD: 331530 | — | 0 | 0 | A | Unknown |
| DABA ADVISORS LLC CRD: 319371 | — | 0 | 0 | A | Unknown |
| DABBAH SECURITIES CORP. CRD: 26576 | NY | 3 | 1 | F | Active |
| DAC OPS I, LLC CRD: 313297 | — | 0 | 0 | A | Unknown |
| DACE VENTURES CRD: 163275 | — | 0 | 0 | A | Unknown |
| DACON SECURITIES CORP CRD: 15364 | — | 0 | 0 | A | INACTIVE |
| DACOSTA ADVISORS CRD: 297038 | — | 0 | 0 | A | Unknown |
| DAE WEALTH MANAGEMENT CRD: 324692 | — | 0 | 0 | A | Unknown |
| DAFNA MELTZER CPA CRD: 130908 | — | 0 | 0 | A | Unknown |
| DAFT CAPITAL, LLC CRD: 315659 | — | 0 | 0 | A | Unknown |
| DAFULLY INC. CRD: 151200 | — | 0 | 0 | A | Unknown |
| DAG GLOBAL, LLC CRD: 293553 | — | 0 | 0 | A | Unknown |
| DAG SECURITIES INC. CRD: 44376 | — | 0 | 0 | A | INACTIVE |
| DAG VENTURES CRD: 162705 | — | 0 | 0 | A | Unknown |
| DAHLKE & CO., INC. CRD: 7166 | — | 0 | 0 | A | INACTIVE |
| DAI ADVISORS CRD: 300332 | — | 0 | 0 | A | Unknown |
| DAI SECURITIES, LLC CRD: 36673 | GA | 2 | 1 | F | Active |
| DAI WEALTH, LLC CRD: 138938 | — | 0 | 0 | A | Unknown |
| DAILY ACCESS ADVISORS, INC. CRD: 104224 | — | 0 | 0 | A | INACTIVE |
| DAIS ADVISORS, LLC CRD: 156860 | — | 0 | 0 | A | Unknown |
| DAK CAPITAL, LLC CRD: 145887 | — | 0 | 0 | A | INACTIVE |
| DAKOTA PACIFIC CRD: 166013 | — | 0 | 0 | A | Unknown |
| DAKOTA WEALTH, LLC CRD: 141137 | — | 0 | 0 | A | Unknown |
| DAKOTA WEALTH, LLC CRD: 297987 | — | 0 | 0 | A | Unknown |
| DAL AND COMPANY CRD: 24604 | — | 0 | 0 | A | INACTIVE |
| DALBY, RANDY RAY CRD: 34574 | — | 0 | 0 | A | INACTIVE |
| DALE BUCKNER, INC. CRD: 116342 | — | 0 | 0 | A | Unknown |
| DALE K. EHRHART, INC. CRD: 35971 | — | 0 | 0 | A | INACTIVE |