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 |
|---|---|---|---|---|---|
| Pollux Wealth Management CRD: 324455 | - | 0 | 2 | - | Unknown |
| Polly Portfolio, Inc CRD: 226634 | - | 0 | 0 | - | Unknown |
| Polson Wealth Management CRD: 342568 | - | 0 | 1 | - | Unknown |
| Polunin Capital Partners Limited CRD: 159031 | - | 0 | 0 | - | Unknown |
| Polus Capital Management (US) Inc. CRD: 323283 | - | 0 | 1 | - | Unknown |
| Polychain Capital LP CRD: 285022 | - | 0 | 1 | - | Unknown |
| Polygon Ventures IM Ltd. CRD: 325255 | - | 0 | 0 | - | Unknown |
| Polyinvest CRD: 341261 | - | 0 | 1 | - | Unknown |
| Polymath Capital CRD: 312438 | - | 0 | 1 | - | Unknown |
| Polymath Capital Advisors, LLC. CRD: 310229 | - | 0 | 2 | - | Unknown |
| Polymath Financial, LLC CRD: 317704 | - | 0 | 1 | - | Unknown |
| Polymath Investments LLC CRD: 333348 | - | 0 | 2 | - | Unknown |
| Polymer Capital Japan Limited CRD: 334917 | - | 0 | 0 | - | Unknown |
| Polymer Capital Management (HK) Limited CRD: 308190 | - | 0 | 0 | - | Unknown |
| Polymer Capital Management (US), LLC CRD: 316277 | - | 0 | 1 | - | Unknown |
| Polymer Capital Singapore PTE Ltd CRD: 334918 | - | 0 | 0 | - | Unknown |
| Polynomial Partners (SG) PTE. Ltd. CRD: 333299 | - | 0 | 0 | - | Unknown |
| Polynomial Ventures CRD: 310888 | - | 0 | 1 | - | Unknown |
| Polynous Securities, LLC CRD: 44758 | - | 2 | 0 | B | INACTIVE |
| Polysign Capital LLC CRD: 317111 | - | 0 | 0 | A | INACTIVE |
| Polytope Research LLC CRD: 333723 | - | 0 | 1 | - | Unknown |
| POM Wealth Management US LLC CRD: 329385 | - | 0 | 0 | - | Unknown |
| Pomegranate Financial LLC CRD: 308992 | - | 0 | 1 | - | Unknown |
| Pomelo Capital LLC CRD: 159290 | - | 0 | 0 | - | Unknown |
| Pomeroy Financial Planning, LLC. CRD: 120409 | - | 0 | 2 | - | Unknown |
| Pomifer Capital Partners LLC CRD: 333542 | - | 0 | 2 | - | Unknown |
| Pomoco Securities Co., Inc. CRD: 10709 | - | 0 | 0 | A | INACTIVE |
| Pomona Capital CRD: 148269 | - | 0 | 1 | - | Unknown |
| Pomona Wealth Management, LLC CRD: 329171 | - | 0 | 2 | - | Unknown |
| Pomp Investments CRD: 311026 | - | 0 | 1 | - | Unknown |
| Pond Equities CRD: 30934 | - | 16 | 0 | D | INACTIVE |
| Pond Venture Partners Limited CRD: 161474 | - | 0 | 0 | - | Unknown |
| Ponder Financial Group CRD: 113439 | - | 0 | 0 | - | Unknown |
| Ponder Investment Co CRD: 110917 | - | 0 | 0 | - | Unknown |
| Ponder Securities, Inc. CRD: 21366 | - | 0 | 0 | A | INACTIVE |
| Pondera Holdings LLC CRD: 315097 | - | 0 | 1 | - | Unknown |
| Ponderosa Investment Group, LLC CRD: 143055 | - | 0 | 2 | - | Unknown |
| Ponderosa Wealth Management CRD: 113792 | - | 0 | 0 | - | Unknown |
| Pondview Capital LLC CRD: 124932 | - | 0 | 0 | A | INACTIVE |
| Ponta Wealth Partners, LLC CRD: 330058 | - | 0 | 1 | - | Unknown |
| Pontchartrain Ciscor LLC CRD: 290330 | - | 0 | 0 | - | Unknown |
| Ponte Partners Management, LLC CRD: 317629 | - | 0 | 1 | - | Unknown |
| Ponte Partners, LLC CRD: 301889 | - | 0 | 1 | - | Unknown |
| Ponte Vedra Capital Management, LLC. CRD: 284654 | - | 0 | 0 | - | Unknown |
| Ponte Vedra Wealth CRD: 142080 | - | 0 | 1 | - | Unknown |
| Ponte Vedra Wealth Advisors LLC CRD: 329995 | - | 0 | 0 | - | Unknown |
| Ponte Vedra Wealth Management CRD: 282606 | - | 0 | 0 | - | Unknown |
| Pontello Prior Schut & Vliek, Inc. CRD: 29204 | - | 0 | 0 | A | INACTIVE |
| Pontem Energy Management, LLC CRD: 317956 | - | 0 | 1 | - | Unknown |
| Ponvalley, LLC CRD: 301515 | - | 0 | 1 | - | Unknown |