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 |
|---|---|---|---|---|---|
| Providus Advisors, LLC CRD: 136182 | - | 0 | 0 | - | Unknown |
| Provise Management Group, LLC CRD: 105375 | - | 0 | 8 | - | Unknown |
| Provision Asset, LLC CRD: 282183 | - | 0 | 7 | - | Unknown |
| Provision Financial Planning CRD: 304497 | - | 0 | 1 | - | Unknown |
| Provizr CRD: 284252 | - | 0 | 2 | - | Unknown |
| Provolt Advisors LLC CRD: 114226 | - | 0 | 0 | - | Unknown |
| Prox Search Capital CRD: 339900 | - | 0 | 1 | - | Unknown |
| Proxima Management Sezc CRD: 321773 | - | 0 | 0 | - | Unknown |
| Proximal Ventures LLC CRD: 342627 | - | 0 | 1 | - | Unknown |
| Proximity Capital, LLC CRD: 306762 | - | 0 | 0 | - | Unknown |
| Proxy Freedom CRD: 324749 | - | 0 | 0 | - | Unknown |
| Proxy International CRD: 325499 | - | 0 | 0 | - | Unknown |
| Proxy Venture Investors GP, LLC CRD: 306719 | - | 0 | 1 | - | Unknown |
| Proxy Wealth Advisors LLC CRD: 298080 | - | 0 | 7 | - | Unknown |
| Proxyvote Plus, LLC CRD: 122222 | - | 0 | 1 | - | Unknown |
| Prozan Financial Services CRD: 136237 | - | 0 | 0 | - | Unknown |
| PRP CRD: 119137 | - | 0 | 1 | - | Unknown |
| PRP Advisors LLC CRD: 130555 | - | 0 | 0 | - | Unknown |
| PRP Real Assets Advisors, LLC CRD: 338178 | - | 0 | 1 | - | Unknown |
| PRR Wealth Management CRD: 324376 | - | 0 | 1 | - | Unknown |
| PRS International Brokerage, Inc. CRD: 18382 | - | 1 | 0 | B | INACTIVE |
| PRS Wealth Management CRD: 296319 | - | 0 | 1 | - | Unknown |
| Prskalo,Douglas W CRD: 37141 | - | 0 | 0 | A | INACTIVE |
| PRSPCTV Capital LLC CRD: 315814 | - | 0 | 1 | - | Unknown |
| Pruco Securities, LLC. CRD: 5685 | NJ | 43 | 28 | D | Active |
| Prudence CRD: 331317 | - | 0 | 1 | - | Unknown |
| Prudence Advisory Services CRD: 293721 | - | 0 | 1 | - | Unknown |
| Prudence Asset Management PTE. Ltd. CRD: 318473 | - | 0 | 0 | - | Unknown |
| Prudence Financial, Inc. CRD: 127649 | - | 0 | 0 | - | Unknown |
| Prudence Investment Management (Hong Kong) Limited CRD: 167624 | - | 0 | 0 | - | Unknown |
| Prudence US Management, LLC CRD: 292905 | - | 0 | 1 | - | Unknown |
| Prudent Brokerage Associates CRD: 33426 | - | 0 | 0 | A | INACTIVE |
| Prudent Financial Planning CRD: 288500 | - | 0 | 1 | - | Unknown |
| Prudent Growth Investments LLC CRD: 337283 | - | 0 | 1 | - | Unknown |
| Prudent Investment Advisors, Inc. CRD: 126501 | - | 0 | 1 | - | Unknown |
| Prudent Investments CRD: 4083 | - | 0 | 0 | A | INACTIVE |
| Prudent Investments, Ltd. CRD: 16344 | - | 0 | 0 | A | INACTIVE |
| Prudent Investor Advisors, LLC CRD: 121922 | - | 0 | 5 | - | Unknown |
| Prudent Investors CRD: 127284 | - | 0 | 2 | - | Unknown |
| Prudent MAN Advisors, Inc. CRD: 110022 | - | 0 | 0 | - | Unknown |
| Prudent MAN Investment Management CRD: 104574 | - | 0 | 4 | - | Unknown |
| Prudent Money Financial Services CRD: 128472 | - | 0 | 1 | - | Unknown |
| Prudent Planning and Investing, LLC CRD: 281235 | - | 0 | 0 | - | Unknown |
| Prudent Prospera Planning, Inc. CRD: 175416 | - | 0 | 2 | - | Unknown |
| Prudent Prosperity CRD: 333659 | - | 0 | 2 | - | Unknown |
| Prudent Value CRD: 119268 | - | 0 | 0 | - | Unknown |
| Prudent Wealth Management LLC CRD: 114865 | - | 0 | 0 | - | Unknown |
| Prudent Wealthcare CRD: 281852 | - | 0 | 1 | - | Unknown |
| Prudential Annuities Distributors, Inc CRD: 21570 | CT | 3 | 24 | C | Active |
| Prudential Asset Sales & Syndications, Inc. ("Pass… CRD: 15363 | - | 0 | 0 | A | INACTIVE |