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 |
|---|---|---|---|---|---|
| Private Wealth Management of North Carolina LLC CRD: 149889 | - | 0 | 7 | - | Unknown |
| Private Wealth Management, Inc. CRD: 120823 | - | 0 | 3 | - | Unknown |
| Private Wealth Partners, LLC CRD: 133802 | - | 0 | 1 | - | Unknown |
| Private Wealth Services, LLC CRD: 311077 | - | 0 | 2 | - | Unknown |
| Private Wealth Solutions, LLC CRD: 289437 | - | 0 | 3 | - | Unknown |
| PRIVATETRADE.COM, Inc. CRD: 103763 | - | 0 | 0 | A | INACTIVE |
| Privatus CRD: 329121 | - | 0 | 2 | - | Unknown |
| Prive Wealth Management CRD: 339705 | - | 0 | 1 | - | Unknown |
| Priveq Advisory VI AB CRD: 310021 | - | 0 | 0 | - | Unknown |
| Priveq Advisory VII AB CRD: 332288 | - | 0 | 0 | - | Unknown |
| Priveq G.P. IV Limited CRD: 163085 | - | 0 | 0 | - | Unknown |
| Priveq G.P. IV Limited CRD: 331495 | - | 0 | 0 | - | Unknown |
| Privet Fund Management LLC CRD: 167943 | - | 0 | 0 | - | Unknown |
| Privex Securities, Inc. CRD: 165361 | - | 0 | 0 | A | INACTIVE |
| Privileged Assets LLC CRD: 121858 | - | 0 | 2 | - | Unknown |
| Privileged Planning Inc. CRD: 327124 | - | 0 | 1 | - | Unknown |
| Privium Fund Management CRD: 285615 | - | 0 | 0 | - | Unknown |
| Privium HK CRD: 328194 | - | 0 | 0 | - | Unknown |
| Privus Financial, LLC CRD: 291495 | - | 0 | 1 | - | Unknown |
| Prmim CRD: 313210 | - | 0 | 1 | - | Unknown |
| PRO Advisors, Ltd. DBA R J Pickle Financial Servic… CRD: 115490 | - | 0 | 2 | - | Unknown |
| PRO Capital L.L.C. CRD: 120635 | - | 0 | 0 | A | INACTIVE |
| PRO Capital LLC CRD: 104350 | - | 0 | 0 | A | INACTIVE |
| PRO Capital LLC CRD: 334371 | - | 0 | 1 | - | Unknown |
| PRO Equities, Inc. CRD: 22481 | - | 0 | 0 | A | INACTIVE |
| PRO Money Management, LLC CRD: 135318 | - | 0 | 0 | - | Unknown |
| PRO Style Financial CRD: 121665 | - | 0 | 0 | - | Unknown |
| PRO TAX Financial Services, LLC CRD: 124634 | - | 0 | 2 | - | Unknown |
| PRO Trading Co. CRD: 31877 | - | 0 | 0 | A | INACTIVE |
| PRO Trust Wealth Management, LLC CRD: 226523 | - | 0 | 0 | - | Unknown |
| PRO Wealth Advisors LLC CRD: 190511 | - | 0 | 0 | - | Unknown |
| PRO Wealth Advisors, LLC CRD: 169033 | - | 0 | 0 | - | Unknown |
| PRO-EX LLC CRD: 32259 | - | 0 | 0 | A | INACTIVE |
| PRO-Integrity Securities, Inc. CRD: 44707 | - | 0 | 0 | A | INACTIVE |
| PRO-VI$ION Advisor Group, LLC CRD: 145922 | - | 0 | 0 | - | Unknown |
| PRO:ACT Capital Management CRD: 143656 | - | 0 | 1 | - | Unknown |
| Proa Capital CRD: 305238 | - | 0 | 0 | - | Unknown |
| Proa Partners PTE Ltd CRD: 158391 | - | 0 | 0 | - | Unknown |
| Proactive Advisors, LLC CRD: 147332 | - | 0 | 2 | - | Unknown |
| Proactive Financial Solutions 360, LLC CRD: 304440 | - | 0 | 2 | - | Unknown |
| Proactive Investors Group, LLC CRD: 41368 | - | 0 | 0 | A | INACTIVE |
| Proactive Money Management Inc CRD: 110161 | - | 0 | 0 | - | Unknown |
| Proactive Planning Wealth Advisory CRD: 330272 | - | 0 | 1 | - | Unknown |
| Proactive Retirement Solutions CRD: 155511 | - | 0 | 0 | - | Unknown |
| Proactive Wealth Management CRD: 273028 | - | 0 | 1 | - | Unknown |
| Proaltus USA CRD: 310955 | - | 0 | 2 | - | Unknown |
| Proathlete Securities LLC CRD: 291063 | - | 0 | 0 | A | INACTIVE |
| Probabilities Fund Management, LLC CRD: 144313 | - | 0 | 0 | - | Unknown |
| Probitas Financial CRD: 143819 | - | 0 | 2 | - | Unknown |
| Probitas Funds Group, LLC CRD: 115876 | CA | 0 | 3 | A | Active |