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 |
|---|---|---|---|---|---|
| Princeton Center Planning and Investments, LLC CRD: 147112 | - | 0 | 2 | - | Unknown |
| Princeton Equity Group CRD: 310405 | - | 0 | 1 | - | Unknown |
| Princeton Equity Securities, Inc. CRD: 15374 | - | 12 | 0 | D | INACTIVE |
| Princeton Financial Group, Inc. CRD: 14597 | - | 0 | 0 | A | INACTIVE |
| Princeton Financial Group, LLC CRD: 44865 | - | 0 | 0 | A | INACTIVE |
| Princeton Investment Corporation CRD: 13872 | - | 0 | 0 | A | INACTIVE |
| Princeton IVY Capital Advisors CRD: 155866 | - | 0 | 0 | - | Unknown |
| Princeton Portfolio Strategies Group LLC CRD: 158570 | - | 0 | 0 | - | Unknown |
| Princeton Road Investments CRD: 299439 | - | 0 | 0 | - | Unknown |
| Princeton Securities Corporation CRD: 21613 | - | 6 | 0 | D | INACTIVE |
| Princeton Securities Group, LLC CRD: 41233 | - | 4 | 0 | C | INACTIVE |
| Princeton Value Advisors, LLC CRD: 143794 | - | 0 | 0 | - | Unknown |
| Princeton Value Partners LLC CRD: 313153 | - | 0 | 1 | - | Unknown |
| Princeville Capital CRD: 293169 | - | 0 | 0 | - | Unknown |
| Principa Capital LLP CRD: 316413 | - | 0 | 0 | - | Unknown |
| Principa Financial Advisors CRD: 146099 | - | 0 | 0 | - | Unknown |
| Principal Asset Management CRD: 109002 | - | 0 | 121 | - | Unknown |
| Principal Asset Management (Asia) CRD: 322390 | - | 0 | 0 | - | Unknown |
| Principal Assets Investment, Inc. CRD: 17016 | - | 0 | 0 | A | INACTIVE |
| Principal Enterprise Capital, LLC CRD: 157574 | - | 0 | 0 | - | Unknown |
| Principal Financial Securities,Inc. CRD: 260 | - | 0 | 0 | A | INACTIVE |
| Principal Funds Distributor, Inc. CRD: 43261 | IA | 0 | 18 | A | Active |
| Principal Global Investors (Hong Kong) Limited CRD: 296751 | - | 0 | 0 | - | Unknown |
| Principal Hospitality Brokers LLC CRD: 335037 | - | 0 | 1 | - | Unknown |
| Principal Management and Research, Co. CRD: 283139 | - | 0 | 0 | - | Unknown |
| Principal Management Corp CRD: 105641 | - | 0 | 0 | - | Unknown |
| Principal Origin CRD: 139897 | - | 0 | 0 | - | Unknown |
| Principal Protection Advisors LLC CRD: 161414 | - | 0 | 0 | - | Unknown |
| Principal Real Estate CRD: 109008 | - | 0 | 1 | - | Unknown |
| Principal Securities, Inc. CRD: 1137 | IA | 12 | 1,061 | B | Active |
| Principal Securities, Inc. CRD: 14819 | - | 0 | 0 | A | INACTIVE |
| Principal VP Management Company LLC CRD: 332876 | - | 0 | 1 | - | Unknown |
| Principe Capital LLC CRD: 307119 | - | 0 | 0 | - | Unknown |
| Principia Capital Partners Investimentos Ltda. CRD: 162195 | - | 0 | 0 | - | Unknown |
| Principia Global Capital LLC CRD: 340044 | - | 0 | 1 | - | Unknown |
| Principia Growth CRD: 313828 | - | 0 | 1 | - | Unknown |
| Principia Ventures LLC CRD: 283422 | - | 0 | 1 | - | Unknown |
| Principia Wealth Advisory, LLC CRD: 152678 | - | 0 | 2 | - | Unknown |
| Principium Investments LLC CRD: 124989 | - | 0 | 1 | - | Unknown |
| Principle Management, Inc. CRD: 159300 | - | 0 | 0 | - | Unknown |
| Principle Wealth CRD: 290180 | - | 0 | 5 | - | Unknown |
| Principled Advisors, Inc. CRD: 131345 | - | 0 | 0 | A | INACTIVE |
| Principled Advisors, Inc. CRD: 323468 | - | 0 | 1 | - | Unknown |
| Principled Investments CRD: 122685 | - | 0 | 0 | - | Unknown |
| Principled Planning & Wealth Management CRD: 328784 | - | 0 | 0 | - | Unknown |
| Principled Wealth Advisors, LLC CRD: 138143 | - | 0 | 1 | - | Unknown |
| Pring Turner CRD: 110931 | - | 0 | 4 | - | Unknown |
| Printers ROW Advisors LLC CRD: 172028 | - | 0 | 1 | - | Unknown |
| Printon Kane & Co., L.P. CRD: 6358 | - | 0 | 0 | A | INACTIVE |
| Printon, Kane Government Securities, Inc. CRD: 17733 | - | 0 | 0 | A | INACTIVE |