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 |
|---|---|---|---|---|---|
| PSK Management, Inc. CRD: 108623 | - | 0 | 0 | - | Unknown |
| PSP Advisors CRD: 299646 | - | 0 | 0 | - | Unknown |
| PSP Financial Services LLC CRD: 155894 | - | 0 | 0 | - | Unknown |
| PSP Research LLC CRD: 333271 | - | 0 | 1 | - | Unknown |
| Psquared Asset Management AG CRD: 172051 | - | 0 | 0 | - | Unknown |
| PSS Benefits, LLC CRD: 286508 | - | 0 | 0 | - | Unknown |
| PST Advisors, LLC CRD: 155266 | - | 0 | 2 | - | Unknown |
| Psymed Ventures Management LLC CRD: 317621 | - | 0 | 1 | - | Unknown |
| PT Asset Management, LLC CRD: 163396 | - | 0 | 0 | - | Unknown |
| PT Asset Management, LLC CRD: 107619 | - | 0 | 4 | - | Unknown |
| PT Capital Advisors, LLC CRD: 168601 | - | 0 | 1 | - | Unknown |
| PT Financial CRD: 37225 | - | 0 | 0 | A | INACTIVE |
| PT Securities, LLC CRD: 169662 | - | 0 | 0 | A | INACTIVE |
| PT Trading Group, LLC CRD: 152086 | - | 0 | 0 | A | INACTIVE |
| PTA Trading, LLC CRD: 138863 | - | 0 | 0 | A | INACTIVE |
| PTI Capital Management, LLC CRD: 46905 | - | 0 | 0 | A | INACTIVE |
| PTI Securities & Futures L. P. CRD: 29275 | IL | 5 | 2 | C | Active |
| PTK Financial, LLC CRD: 115012 | - | 0 | 0 | - | Unknown |
| PTM Wealth Management, LLC CRD: 308944 | - | 0 | 1 | - | Unknown |
| Ptma Investment Advisors CRD: 301973 | - | 0 | 16 | - | Unknown |
| Ptma Investment Advisors CRD: 159189 | - | 0 | 1 | - | Unknown |
| PTP Capital, LLC CRD: 158466 | - | 0 | 0 | - | Unknown |
| PTP Securities, LLC CRD: 136832 | - | 0 | 0 | A | INACTIVE |
| PTR, Inc. CRD: 31559 | NJ | 28 | 1 | F | Active |
| PTS Asset Management CRD: 111047 | - | 0 | 0 | - | Unknown |
| PTS Brokerage, LLC CRD: 119307 | NJ | 0 | 16 | A | Active |
| PTV Healthcare Capital CRD: 282939 | - | 0 | 0 | - | Unknown |
| PTX Capital LLC CRD: 333139 | - | 0 | 1 | - | Unknown |
| PTX Securities, LLC CRD: 7735 | - | 8 | 0 | D | INACTIVE |
| Public Advisors LLC CRD: 318234 | - | 0 | 8 | - | Unknown |
| Public Employees Equities Services Company CRD: 7315 | - | 2 | 0 | B | INACTIVE |
| Public Equity Partners CRD: 126765 | - | 0 | 1 | - | Unknown |
| Public Fidelity Corporation CRD: 30893 | - | 0 | 0 | A | INACTIVE |
| Public Funding Group CRD: 23961 | - | 0 | 0 | A | INACTIVE |
| Public Resources Advisory Group CRD: 113338 | - | 0 | 9 | - | Unknown |
| Public Resources, Inc. CRD: 8120 | - | 0 | 0 | A | INACTIVE |
| Public Safety Financial/Galloway CRD: 141091 | - | 0 | 3 | - | Unknown |
| Public Securities, Inc. CRD: 15211 | - | 4 | 0 | C | INACTIVE |
| Pubvest Advisors, LLC CRD: 167562 | - | 0 | 0 | - | Unknown |
| Pubvest Securities, LLC CRD: 166428 | - | 0 | 0 | A | INACTIVE |
| Pueblo Discount Brokerage Corp. CRD: 8278 | - | 0 | 0 | A | INACTIVE |
| Puente Asesoramiento DE Inversiones, LLC CRD: 311609 | - | 0 | 1 | - | Unknown |
| Puget Sound Capital Services LLC CRD: 140582 | - | 0 | 1 | - | Unknown |
| Puget Sound Securities, Inc. CRD: 902 | - | 0 | 0 | A | INACTIVE |
| Puget Sound Securities, Inc. CRD: 16097 | - | 0 | 0 | A | INACTIVE |
| Pugh Wealth Management, LLC CRD: 306754 | - | 0 | 2 | - | Unknown |
| Puglisi & Co. CRD: 19451 | - | 2 | 0 | B | INACTIVE |
| Puglisi Opportunity Fund GP LLC CRD: 307984 | - | 0 | 0 | - | Unknown |
| Puglisi, Robert Gaspar CRD: 32756 | - | 0 | 0 | A | INACTIVE |
| Pula Capital Management LP CRD: 306687 | - | 0 | 0 | - | Unknown |