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 |
|---|---|---|---|---|---|
| Prentiss Smith & Company, Inc. CRD: 110928 | - | 0 | 5 | - | Unknown |
| Prep Investment Advisers, L.L.C. CRD: 296631 | - | 0 | 1 | - | Unknown |
| Prep Securities, LLC CRD: 188522 | UT | 0 | 2 | A | Active |
| Prepair Financial CRD: 285343 | - | 0 | 0 | - | Unknown |
| Prepared Capital CRD: 288582 | - | 0 | 0 | - | Unknown |
| Prepared Financial Planning CRD: 327522 | - | 0 | 1 | - | Unknown |
| Prepared Mind Advisers, LLC CRD: 172895 | - | 0 | 0 | - | Unknown |
| Prepared Retirement Institute LLC CRD: 309663 | - | 0 | 1 | - | Unknown |
| Prepublic Equity Partners CRD: 338251 | - | 0 | 1 | - | Unknown |
| Presario Ventures, LLC CRD: 312738 | - | 0 | 0 | - | Unknown |
| Prescap Advisors LLC CRD: 307789 | - | 0 | 0 | - | Unknown |
| Prescience Point Capital Management LLC CRD: 152721 | - | 0 | 0 | - | Unknown |
| Prescott Advisors, LLC CRD: 283784 | - | 0 | 1 | - | Unknown |
| Prescott Financial Management, Inc. CRD: 155030 | - | 0 | 0 | - | Unknown |
| Prescott General Partners LLC CRD: 157907 | - | 0 | 1 | - | Unknown |
| Prescott Group Capital Management L.L.C. CRD: 115220 | - | 0 | 1 | - | Unknown |
| Prescott Investor Services, Inc. CRD: 114468 | - | 0 | 2 | - | Unknown |
| Prescott Steinam Inc. CRD: 16872 | - | 0 | 0 | A | INACTIVE |
| Prescott TAX and Wealth Management CRD: 331654 | - | 0 | 0 | - | Unknown |
| Prescott, Adams and Group Inc. CRD: 137699 | - | 0 | 1 | - | Unknown |
| Prescott, Ball & Turben, Inc. CRD: 7656 | - | 0 | 0 | A | INACTIVE |
| Presence Financial Inc. CRD: 286500 | - | 0 | 0 | - | Unknown |
| Present Value Financial Services LLC CRD: 297335 | - | 0 | 1 | - | Unknown |
| Preservation Capital Group CRD: 139466 | - | 0 | 0 | - | Unknown |
| Preservation Capital Group CRD: 154462 | - | 0 | 1 | - | Unknown |
| Preservation Capital Management CRD: 324924 | - | 0 | 0 | - | Unknown |
| Preservation Capital Partners Limited CRD: 310564 | - | 0 | 0 | - | Unknown |
| Preservation Equity Fund Advisors, LLC CRD: 300968 | - | 0 | 1 | - | Unknown |
| Preservation Financial Partners, Inc CRD: 142704 | - | 0 | 0 | - | Unknown |
| Preservation Investments, Inc. CRD: 20820 | - | 0 | 0 | A | INACTIVE |
| Preserve Private Wealth, LLC CRD: 324362 | - | 0 | 2 | - | Unknown |
| Preserve Wealth Management CRD: 304125 | - | 0 | 1 | - | Unknown |
| Preserver Partners CRD: 152356 | - | 0 | 1 | - | Unknown |
| President Street Global, LLC CRD: 318377 | NJ | 0 | 2 | A | Active |
| Presidential Capital Corporation CRD: 17815 | - | 0 | 0 | A | INACTIVE |
| Presidio Advisors, LLC CRD: 328699 | - | 0 | 1 | - | Unknown |
| Presidio Capital Advisors LLC CRD: 108531 | - | 0 | 0 | - | Unknown |
| Presidio Financial Services, Inc. CRD: 10010 | - | 3 | 0 | C | INACTIVE |
| Presidio Financial, LLC CRD: 300270 | - | 0 | 2 | - | Unknown |
| Presidio Gate, LLC CRD: 299794 | - | 0 | 1 | - | Unknown |
| Presidio Investors LLC CRD: 160841 | - | 0 | 1 | - | Unknown |
| Presidio Merchant Partners LLC CRD: 46473 | CO | 0 | 3 | A | Active |
| Presidio OIL Programs, Inc. CRD: 6036 | - | 0 | 0 | A | INACTIVE |
| Presidio Partners LLC CRD: 128280 | - | 0 | 0 | A | INACTIVE |
| Presidio Partners Management, LLC CRD: 172667 | - | 0 | 0 | - | Unknown |
| Presidio Trading LLC CRD: 318992 | - | 0 | 1 | - | Unknown |
| Presidio View Capital Management, LLC CRD: 292193 | - | 0 | 0 | - | Unknown |
| Presidio Wealth Management CRD: 333404 | - | 0 | 1 | - | Unknown |
| Presidium CRD: 138132 | - | 0 | 0 | - | Unknown |
| Presidium Partners, LLC CRD: 144589 | - | 0 | 0 | - | Unknown |