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 |
|---|---|---|---|---|---|
| Associate Equity Group CRD: 153907 | - | 0 | 0 | - | Unknown |
| Associated Bond Brokers, Inc. CRD: 32114 | - | 1 | 0 | B | INACTIVE |
| Associated Brokerage, Inc. CRD: 17546 | - | 0 | 0 | A | INACTIVE |
| Associated Equities Securities, Inc. CRD: 11051 | - | 0 | 0 | A | INACTIVE |
| Associated Equity Investors, Inc. CRD: 20839 | - | 0 | 0 | A | INACTIVE |
| Associated Financial Advisors, Ltd. CRD: 111532 | - | 0 | 0 | - | Unknown |
| Associated Group Management, LLC CRD: 160888 | - | 0 | 0 | - | Unknown |
| Associated Investment Advisors, Inc. CRD: 281734 | - | 0 | 0 | - | Unknown |
| Associated Investment Services, Inc. CRD: 1464 | WI | 4 | 45 | B | Active |
| Associated Investment Services, Incorporated CRD: 17513 | - | 0 | 0 | A | INACTIVE |
| Associated Investor Services, Inc. CRD: 133356 | - | 0 | 4 | - | Unknown |
| Associated Options, Inc. CRD: 37929 | - | 0 | 0 | A | INACTIVE |
| Associated Planners Securities Corporation of Neva… CRD: 30200 | - | 2 | 0 | B | INACTIVE |
| Associated Real Estate Securities, Inc. CRD: 13237 | - | 0 | 0 | A | INACTIVE |
| Associated Retirement Planners, Inc. CRD: 146922 | - | 0 | 2 | - | Unknown |
| Associated Securities Corp. CRD: 12969 | - | 10 | 0 | D | INACTIVE |
| Associated Services in Insurance,Inc CRD: 124408 | - | 0 | 0 | - | Unknown |
| Assurance Wealth Management CRD: 299459 | - | 0 | 2 | - | Unknown |
| Assurant Investment Management LLC CRD: 283487 | - | 0 | 0 | - | Unknown |
| Assure Wealth Strategies, LLC CRD: 175425 | - | 0 | 0 | - | Unknown |
| Assured Advisory Group, LLC CRD: 316449 | - | 0 | 1 | - | Unknown |
| Assured Asset Management Limited CRD: 297607 | - | 0 | 0 | - | Unknown |
| Assured Healthcare Partners LLC CRD: 311479 | - | 0 | 2 | - | Unknown |
| Assured Retirement Advisors LLC CRD: 152005 | - | 0 | 0 | - | Unknown |
| Assuredpartners Investment Advisors CRD: 309550 | - | 0 | 37 | - | Unknown |
| Assurity Wealth Management CRD: 143451 | - | 0 | 1 | - | Unknown |
| AST Investment Services, Inc. CRD: 108897 | - | 0 | 1 | - | Unknown |
| AST Personal Wealth Solutions CRD: 166366 | - | 0 | 0 | - | Unknown |
| Asta Capital Partners CRD: 304811 | - | 0 | 0 | - | Unknown |
| Asta Investment Advisors CRD: 307746 | - | 0 | 0 | - | Unknown |
| Astanor GP S.AR.L. CRD: 331670 | - | 0 | 0 | - | Unknown |
| Astara Capital Partners, L.P. CRD: 317647 | - | 0 | 1 | - | Unknown |
| Astatine Investment Partners CRD: 156918 | - | 0 | 1 | - | Unknown |
| Astatine Investment Partners CRD: 311095 | - | 0 | 1 | - | Unknown |
| Astera BIO Asset Management LLC CRD: 312187 | - | 0 | 0 | - | Unknown |
| Asteralpine Capital CRD: 329587 | - | 0 | 1 | - | Unknown |
| Asteria Wealth LLC CRD: 285106 | - | 0 | 0 | - | Unknown |
| Asterion Industrial Partners, Sgeic, S.A. CRD: 300067 | - | 0 | 0 | - | Unknown |
| Asterozoa Management CRD: 316870 | - | 0 | 3 | - | Unknown |
| Asteya Partners, LLC CRD: 316405 | - | 0 | 1 | - | Unknown |
| Asti Financial Management CRD: 137405 | - | 0 | 3 | - | Unknown |
| Astia Partners GP LLC CRD: 312988 | - | 0 | 1 | - | Unknown |
| Astignes Capital Asia PTE. Ltd. CRD: 152719 | - | 0 | 0 | - | Unknown |
| Astira Capital Partners LP CRD: 327034 | - | 0 | 1 | - | Unknown |
| Aston Asset Management CRD: 154318 | - | 0 | 0 | - | Unknown |
| Aston Capital Advisors, LLC CRD: 161313 | - | 0 | 0 | A | INACTIVE |
| Aston Capital Management CRD: 291310 | - | 0 | 2 | - | Unknown |
| Aston Peak Venture LLC CRD: 290202 | - | 0 | 0 | - | Unknown |
| Aston Sandel CRD: 339329 | - | 0 | 1 | - | Unknown |
| Astor CRD: 338424 | - | 0 | 1 | - | Unknown |