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 |
|---|---|---|---|---|---|
| Prospect Street Holdings, LLC CRD: 332072 | - | 0 | 1 | - | Unknown |
| Prospect Trading LLC CRD: 281490 | - | 0 | 2 | - | Unknown |
| Prospect Trading, LLC CRD: 127227 | - | 0 | 0 | A | INACTIVE |
| Prospective Value Partners LLC CRD: 258786 | - | 0 | 1 | - | Unknown |
| Prospector Partners Asset Management, LLC CRD: 143013 | - | 0 | 0 | - | Unknown |
| Prospector Partners, LLC CRD: 123546 | - | 0 | 1 | - | Unknown |
| Prosper Capital Corp CRD: 166140 | - | 0 | 0 | - | Unknown |
| Prosper Capital LLC CRD: 197511 | - | 0 | 1 | - | Unknown |
| Prosper Capital LLC CRD: 317509 | - | 0 | 0 | - | Unknown |
| Prosper Financial CRD: 155100 | - | 0 | 1 | - | Unknown |
| Prosper Financial Planning LLC CRD: 317967 | - | 0 | 0 | - | Unknown |
| Prosper Marketing Group, Inc. CRD: 47218 | - | 0 | 0 | A | INACTIVE |
| Prosper Point LLC CRD: 308129 | - | 0 | 0 | - | Unknown |
| Prosper Private Wealth CRD: 333708 | - | 0 | 2 | - | Unknown |
| Prosper Stonebrook LLC CRD: 324418 | - | 0 | 0 | - | Unknown |
| Prosper Wealth Management, LLC CRD: 166152 | - | 0 | 0 | - | Unknown |
| Prosper Wisely, LLC CRD: 316798 | - | 0 | 2 | - | Unknown |
| Prospera Brokerage Solutions LLC CRD: 140017 | - | 0 | 0 | A | INACTIVE |
| Prospera Capital Management, LLC CRD: 330390 | - | 0 | 1 | - | Unknown |
| Prospera Financial Services, Inc. CRD: 10740 | TX | 13 | 171 | B | Active |
| Prospera Funds, Inc. CRD: 331765 | - | 0 | 2 | - | Unknown |
| Prosperent Capital, LLC CRD: 325603 | - | 0 | 2 | - | Unknown |
| Prosperifi LLC CRD: 292771 | - | 0 | 1 | - | Unknown |
| Prosperilux LLC CRD: 334864 | - | 0 | 1 | - | Unknown |
| Prosperitage Wealth CRD: 328338 | - | 0 | 1 | - | Unknown |
| Prosperitas Financial, LLC CRD: 315768 | - | 0 | 20 | - | Unknown |
| Prosperitea Planning CRD: 282041 | - | 0 | 2 | - | Unknown |
| Prosperitus Wealth Advisors CRD: 306630 | - | 0 | 1 | - | Unknown |
| Prosperity - an Eisneramper Company CRD: 133777 | - | 0 | 57 | - | Unknown |
| Prosperity Advisers, LLC CRD: 282998 | - | 0 | 3 | - | Unknown |
| Prosperity Advisors LLC CRD: 331280 | - | 0 | 1 | - | Unknown |
| Prosperity Advisory Group LLC CRD: 310720 | - | 0 | 1 | - | Unknown |
| Prosperity Capital Advisors CRD: 156480 | - | 0 | 135 | - | Unknown |
| Prosperity Capital Group, Inc. CRD: 149414 | - | 0 | 0 | - | Unknown |
| Prosperity Economics Partners, LLC CRD: 148122 | - | 0 | 0 | - | Unknown |
| Prosperity Financial Design CRD: 306653 | - | 0 | 0 | - | Unknown |
| Prosperity Financial Group CRD: 336091 | - | 0 | 1 | - | Unknown |
| Prosperity Financial Group, Inc. CRD: 145540 | - | 0 | 0 | - | Unknown |
| Prosperity Financial Group, Inc. CRD: 339321 | - | 0 | 1 | - | Unknown |
| Prosperity Financial Planning LLC CRD: 336596 | - | 0 | 1 | - | Unknown |
| Prosperity Investment Advisors, Inc. CRD: 148473 | - | 0 | 1 | - | Unknown |
| Prosperity Liftoff LLC CRD: 304541 | - | 0 | 0 | - | Unknown |
| Prosperity Management, LLC CRD: 162032 | - | 0 | 0 | - | Unknown |
| Prosperity Path Advisers, LLC CRD: 319614 | - | 0 | 2 | - | Unknown |
| Prosperity Planning CRD: 298268 | - | 0 | 4 | - | Unknown |
| Prosperity Planning and Advisory, LLC CRD: 336302 | - | 0 | 2 | - | Unknown |
| Prosperity Road, LLC CRD: 281894 | - | 0 | 1 | - | Unknown |
| Prosperity Wealth Management CRD: 305940 | - | 0 | 1 | - | Unknown |
| Prosperity Wealth Management, Inc. CRD: 174328 | - | 0 | 47 | - | Unknown |
| Prosperity Wealth Planning LLC CRD: 315163 | - | 0 | 2 | - | Unknown |