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 |
|---|---|---|---|---|---|
| Post Resch Tallon Group CRD: 156302 | - | 0 | 4 | - | Unknown |
| Post Road Capital Management, LLC CRD: 172277 | - | 0 | 0 | - | Unknown |
| Post Road Capital Management, LLC CRD: 313731 | - | 0 | 1 | - | Unknown |
| Post Road Group LLC CRD: 288459 | - | 0 | 1 | - | Unknown |
| Post Rock Advisors, LLC CRD: 156898 | - | 0 | 0 | - | Unknown |
| Post-Lane & Co., LLC CRD: 46043 | - | 0 | 0 | A | INACTIVE |
| Postmodern Partners GP, LLC CRD: 285878 | - | 0 | 0 | - | Unknown |
| Posto Asset Management CRD: 299489 | - | 0 | 0 | - | Unknown |
| Postrock Partners LLC CRD: 328865 | - | 0 | 1 | - | Unknown |
| Potamus Trading, LLC CRD: 142867 | - | 6 | 0 | D | INACTIVE |
| Poten Capital Services, LLC CRD: 141367 | - | 0 | 0 | A | INACTIVE |
| Potentia Capital CRD: 315691 | - | 0 | 0 | - | Unknown |
| Potentia Wealth CRD: 329135 | - | 0 | 2 | - | Unknown |
| Potentia Wealth Advisors LLC CRD: 339262 | - | 0 | 1 | - | Unknown |
| Potentum Partners, L.P. CRD: 311282 | - | 0 | 0 | - | Unknown |
| Potomac CRD: 105413 | - | 0 | 17 | - | Unknown |
| Potomac Advisors, Inc. CRD: 131070 | - | 0 | 3 | - | Unknown |
| Potomac Asset Management, Inc. CRD: 115807 | - | 0 | 0 | - | Unknown |
| Potomac Capital Markets, LLC CRD: 39800 | - | 4 | 0 | C | INACTIVE |
| Potomac Financial Group CRD: 166534 | - | 0 | 0 | - | Unknown |
| Potomac Financial Group, Inc. CRD: 26092 | - | 0 | 0 | A | INACTIVE |
| Potomac International Business Services CRD: 167248 | - | 0 | 0 | - | Unknown |
| Potomac Investment Management, Inc. CRD: 119194 | - | 0 | 1 | - | Unknown |
| Potomac River Capital CRD: 159887 | - | 0 | 0 | - | Unknown |
| Potomac Securities, Inc. CRD: 10599 | - | 0 | 0 | A | INACTIVE |
| Potomac Securities, Inc. CRD: 25620 | - | 0 | 0 | A | INACTIVE |
| Potomac Securities, LLC CRD: 144443 | - | 3 | 0 | C | INACTIVE |
| Potomac Wealth Management LLC CRD: 150482 | - | 0 | 1 | - | Unknown |
| Potomac Wealth Strategies, LLC CRD: 151565 | - | 0 | 1 | - | Unknown |
| Potrero Capital Research, LLC CRD: 125909 | - | 0 | 1 | - | Unknown |
| Potter Advisors LLC CRD: 165126 | - | 0 | 1 | - | Unknown |
| Potter Financial Services CRD: 120061 | - | 0 | 0 | - | Unknown |
| Potter Investment Co. CRD: 3061 | - | 2 | 0 | B | INACTIVE |
| Potter Partners CRD: 10337 | - | 0 | 0 | A | INACTIVE |
| Potts, Hannah & Fischer Wealth Management Group, L… CRD: 156003 | - | 0 | 1 | - | Unknown |
| Poulos Advisors, Inc. CRD: 141905 | - | 0 | 1 | - | Unknown |
| Poulos, Ernest, D. CRD: 142598 | - | 0 | 2 | - | Unknown |
| Pound Capital Ltd. CRD: 130861 | - | 0 | 0 | - | Unknown |
| Pouschine Cook Capital Management, LLC CRD: 163102 | - | 0 | 0 | - | Unknown |
| POV Wealth LLC CRD: 327906 | - | 0 | 1 | - | Unknown |
| Powder Point Financial LLC CRD: 145199 | MA | 0 | 2 | A | Active |
| Powder Ridge Capital LP CRD: 309767 | - | 0 | 2 | - | Unknown |
| Powder River Capital Management LLC CRD: 306999 | - | 0 | 1 | - | Unknown |
| Powell & Satterfield, Inc. CRD: 7030 | - | 0 | 0 | A | INACTIVE |
| Powell Capital CRD: 288994 | - | 0 | 0 | - | Unknown |
| Powell Capital Markets, Inc. CRD: 28328 | - | 0 | 0 | A | INACTIVE |
| Powell Development & Resources, Inc. CRD: 13057 | - | 0 | 0 | A | INACTIVE |
| Powell Wealth CRD: 335830 | - | 0 | 1 | - | Unknown |
| Powell Wealth CRD: 144230 | - | 0 | 1 | - | Unknown |
| Powell's Financial Planning Service CRD: 125825 | - | 0 | 0 | - | Unknown |