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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Probity Advisors, Inc.
CRD: 121849
 - 0 4 - Unknown
Probity First Financial Services
CRD: 23074
 - 0 0 A INACTIVE
Probursa International Inc.
CRD: 26137
 - 0 0 A INACTIVE
Procapita Partners, LLC
CRD: 300292
 - 0 1 - Unknown
Process Design Capital Management LLC
CRD: 170789
 - 0 1 - Unknown
Process Wealth LLC
CRD: 336802
 - 0 1 - Unknown
Process Wealth, LLC
CRD: 298699
 - 0 0 - Unknown
Procore Advisors, LLC
CRD: 289037
 - 0 1 - Unknown
Proctor Advisory Wealth, LLC
CRD: 341417
 - 0 1 - Unknown
Proctor Company
CRD: 142309
 - 0 0 - Unknown
Proctor Financial
CRD: 122021
 - 0 3 - Unknown
Proctor Investment Distributors, LLC
CRD: 141946
 - 0 0 A INACTIVE
Proctor Investments LLC
CRD: 300298
 - 0 0 - Unknown
Procure Etfs
CRD: 297134
 - 0 2 - Unknown
Procuritas Capital Investors VI Holding AB
CRD: 285491
 - 0 0 - Unknown
Procuritas VII Advisory AB
CRD: 324735
 - 0 0 - Unknown
Procyon
CRD: 288239
 - 0 38 - Unknown
Procyon Institutional Partners, LLC
CRD: 288244
 - 0 0 - Unknown
Prodeo Asset Management, LLP
CRD: 288692
 - 0 1 - Unknown
Prodeo Financial Services
CRD: 111791
 - 0 1 - Unknown
Prodigy Financial Consultants
CRD: 113238
 - 0 0 - Unknown
Product Distributors, Inc.
CRD: 35540
 - 0 0 A INACTIVE
Product Hunt, Inc.
CRD: 316520
 - 0 1 - Unknown
Proem Advisors LLC
CRD: 300404
 - 0 1 - Unknown
Proesel (JR), James Vernon
CRD: 33661
 - 0 0 A INACTIVE
Profectus Wealth Management
CRD: 166482
 - 0 0 - Unknown
Profed Financial Advisors
CRD: 121581
 - 0 3 - Unknown
Professional Alliance Associates, LLC
CRD: 127149
 - 0 3 - Unknown
Professional Analysts, LLC
CRD: 124805
 - 0 2 - Unknown
Professional Broker-Dealer Financial Planning, Inc…
CRD: 23651
 - 0 0 A INACTIVE
Professional Brokerage Services Inc.
CRD: 7998
 - 0 0 A INACTIVE
Professional Business Consultants
CRD: 165826
 - 0 0 - Unknown
Professional Concepts & Planning, Inc.
CRD: 15321
 - 3 0 C INACTIVE
Professional Edge Fund L.P.
CRD: 32199
 - 4 0 C INACTIVE
Professional Financial
CRD: 125580
 - 0 1 - Unknown
Professional Financial Advisors, L.L.C.
CRD: 118677
 - 0 0 - Unknown
Professional Financial Advisors, LLC
CRD: 173719
 - 0 3 - Unknown
Professional Financial Management, LLC
CRD: 133137
 - 0 0 - Unknown
Professional Financial Planning
CRD: 125806
 - 0 0 - Unknown
Professional Fund Distributors Corp.
CRD: 43615
 - 0 0 A INACTIVE
Professional Investment Advisory Services, Inc.
CRD: 122136
 - 0 0 - Unknown
Professional Investment Counsel, Inc
CRD: 105096
 - 0 1 - Unknown
Professional Investment Management Services, PLLC
CRD: 115580
 - 0 0 - Unknown
Professional Investment Management, L.L.C
CRD: 124628
 - 0 0 - Unknown
Professional Investment Services, Inc.
CRD: 13703
 - 6 0 D INACTIVE
Professional Investment Services, Inc.
CRD: 3084
 - 0 0 A INACTIVE
Professional Management of Milwaukee, Inc.
CRD: 117796
 - 0 0 - Unknown
Professional Planning
CRD: 109561
 - 0 0 - Unknown
Professional Planning & Technologies, Inc.
CRD: 17234
 - 5 0 C INACTIVE
Professional Planning Capital Corporation
CRD: 13850
 - 0 0 A INACTIVE
Page 1150 of 1601 (80,028 total)
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