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 |
|---|---|---|---|---|---|
| Pointguard Ventures CRD: 171040 | - | 0 | 1 | - | Unknown |
| Pointnemo Enterprise LLC CRD: 334942 | - | 0 | 1 | - | Unknown |
| Pointoak Retirement Advisors CRD: 314866 | - | 0 | 2 | - | Unknown |
| Pointone Family Office CRD: 338563 | - | 0 | 1 | - | Unknown |
| Pointstate Capital LP CRD: 161110 | - | 0 | 1 | - | Unknown |
| Poise Investment Advisors CRD: 315434 | - | 0 | 1 | - | Unknown |
| Poitinger Financial, Inc. CRD: 119867 | - | 0 | 2 | - | Unknown |
| Poket Financial, LLC CRD: 221523 | - | 0 | 0 | - | Unknown |
| Pokorney, Gregory Palerston CRD: 33974 | - | 6 | 0 | D | INACTIVE |
| Polar Asset Management Partners Inc. CRD: 162681 | - | 0 | 1 | - | Unknown |
| Polar Capital CRD: 136133 | - | 0 | 0 | - | Unknown |
| Polar Capital (America) Corporation CRD: 155389 | - | 0 | 1 | - | Unknown |
| Polar Capital Partners (Jersey) Limited CRD: 163636 | - | 0 | 0 | - | Unknown |
| Polar Equities Trading Company CRD: 153719 | - | 0 | 0 | A | INACTIVE |
| Polar Investment Counsel, Inc. CRD: 42847 | MN | 2 | 2 | B | Active |
| Polar Star Management Sezc CRD: 322537 | - | 0 | 0 | - | Unknown |
| Polaris Advisors, LLC CRD: 127217 | - | 0 | 0 | - | Unknown |
| Polaris Capital Management, LLC CRD: 286317 | - | 0 | 0 | - | Unknown |
| Polaris CG Singapore PTE. Ltd. CRD: 169394 | - | 0 | 0 | - | Unknown |
| Polaris Equity Management, Inc. CRD: 298193 | - | 0 | 0 | - | Unknown |
| Polaris Equity Management, Inc. CRD: 127751 | - | 0 | 0 | - | Unknown |
| Polaris Financial Partners, LLC CRD: 299258 | - | 0 | 1 | - | Unknown |
| Polaris Financial Planning, LLC. CRD: 123035 | - | 0 | 2 | - | Unknown |
| Polaris Financial, LLC CRD: 281952 | - | 0 | 1 | - | Unknown |
| Polaris Greystone Advisory Group, LLC CRD: 171405 | - | 0 | 0 | - | Unknown |
| Polaris Growth Management, LLC CRD: 297431 | - | 0 | 1 | - | Unknown |
| Polaris Investment Partners, Inc CRD: 106711 | - | 0 | 1 | - | Unknown |
| Polaris Partners CRD: 162279 | - | 0 | 0 | - | Unknown |
| Polaris Prime BD, LLC CRD: 101360 | - | 0 | 0 | A | INACTIVE |
| Polaris Private Placements, LLC CRD: 288104 | SC | 0 | 2 | A | Active |
| Polaris Technologies LLC CRD: 306805 | - | 0 | 0 | - | Unknown |
| Polaris Wealth Advisory Group CRD: 158718 | - | 0 | 0 | - | Unknown |
| Polaris Wealth Partners CRD: 331678 | - | 0 | 1 | - | Unknown |
| Polaris7 Investments LLC CRD: 298652 | - | 0 | 1 | - | Unknown |
| Polarity Investment Partners LP CRD: 313260 | - | 0 | 0 | - | Unknown |
| Polce Equities Group LLC CRD: 143363 | - | 0 | 0 | - | Unknown |
| Polen Capital CLO Management, LLC CRD: 330470 | - | 0 | 1 | - | Unknown |
| Polen Capital Credit, LLC CRD: 108468 | - | 0 | 1 | - | Unknown |
| Polen International Equity LLC CRD: 340625 | - | 0 | 1 | - | Unknown |
| Polero ICE Advisers CRD: 148790 | - | 0 | 1 | - | Unknown |
| Polestar Capital LLC CRD: 142864 | - | 0 | 2 | - | Unknown |
| Polestar Securities, LLC CRD: 118342 | - | 0 | 0 | A | INACTIVE |
| Poling Wealth CRD: 317668 | - | 0 | 0 | - | Unknown |
| Polite & Co., Inc. CRD: 18182 | - | 6 | 0 | D | INACTIVE |
| Polka DOT Ventures LLC CRD: 297098 | - | 0 | 0 | - | Unknown |
| Pollen & Secouler, LLP CRD: 197520 | - | 0 | 1 | - | Unknown |
| Pollen Street Capital (US) LLC CRD: 162428 | - | 0 | 0 | - | Unknown |
| Polley Wealth Management LLC CRD: 305143 | - | 0 | 1 | - | Unknown |
| Pollock Planning Associates Inc CRD: 105409 | - | 0 | 1 | - | Unknown |
| Pollux Capital CRD: 161492 | - | 0 | 0 | - | Unknown |