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 |
|---|---|---|---|---|---|
| AT&T Universal Investment Corp. CRD: 24752 | - | 0 | 0 | A | INACTIVE |
| ATA Ventures CRD: 161720 | - | 0 | 0 | - | Unknown |
| Atairos Management, L.P. CRD: 281947 | - | 0 | 1 | - | Unknown |
| Atala Financial Inc CRD: 318371 | - | 0 | 2 | - | Unknown |
| Atalan Capital Partners, LP CRD: 226714 | - | 0 | 1 | - | Unknown |
| Atalanta Sosnoff Capital, LLC CRD: 104880 | - | 0 | 1 | - | Unknown |
| Atalaya Capital Management LP CRD: 156959 | - | 0 | 0 | - | Unknown |
| Atalo Capital LLC CRD: 315643 | - | 0 | 0 | - | Unknown |
| Ataraxia Advisory Services, LLC CRD: 174214 | - | 0 | 1 | - | Unknown |
| Ataraxia LLC CRD: 288872 | - | 0 | 0 | - | Unknown |
| Ataraxia LLC CRD: 311207 | - | 0 | 0 | - | Unknown |
| Ataraxia Partners, LLC CRD: 317485 | - | 0 | 1 | - | Unknown |
| Ataraxis Advisors LLC CRD: 328373 | - | 0 | 1 | - | Unknown |
| Ataraxis Capital, LLC CRD: 338150 | - | 0 | 1 | - | Unknown |
| Ataraxis Financial CRD: 153187 | - | 0 | 1 | - | Unknown |
| Ataroke Wealth CRD: 323731 | - | 0 | 1 | - | Unknown |
| Atas VC, LLC CRD: 337754 | - | 0 | 1 | - | Unknown |
| Atash Ventures, LLC CRD: 174033 | - | 0 | 1 | - | Unknown |
| ATB Capital Markets USA Inc. CRD: 155053 | - | 0 | 1 | A | Active |
| ATB Investment Management Inc. CRD: 172784 | - | 0 | 0 | - | Unknown |
| ATB Management, LLC CRD: 166292 | - | 0 | 0 | - | Unknown |
| ATB Securities Inc. CRD: 172787 | - | 0 | 0 | - | Unknown |
| ATC Investment Group CRD: 13898 | - | 0 | 0 | A | INACTIVE |
| Atcap Partners, LLC CRD: 158214 | - | 0 | 19 | - | Unknown |
| Atcapital Management CRD: 140215 | - | 0 | 0 | - | Unknown |
| Atchue, John Edward CRD: 130744 | - | 0 | 0 | A | INACTIVE |
| Atclique Fund LLC CRD: 285995 | - | 0 | 0 | - | Unknown |
| Atel Securities Corporation CRD: 17229 | - | 4 | 0 | C | INACTIVE |
| Atelier Ventures CRD: 311315 | - | 0 | 1 | - | Unknown |
| Atem Capital LLC CRD: 316958 | - | 0 | 0 | - | Unknown |
| Atento Capital CRD: 326487 | - | 0 | 1 | - | Unknown |
| Aternalis Capital LLC CRD: 174753 | - | 0 | 0 | - | Unknown |
| ATF Exchange, LLC CRD: 167765 | - | 0 | 0 | - | Unknown |
| Atfs Markets CRD: 324119 | - | 0 | 0 | A | INACTIVE |
| ATG Securities LLC CRD: 151786 | - | 1 | 0 | B | INACTIVE |
| Athanor Capital CRD: 290155 | - | 0 | 0 | - | Unknown |
| Atheena Inc. CRD: 308373 | - | 0 | 0 | - | Unknown |
| Athena Advisor Services, LLC CRD: 150960 | - | 0 | 1 | - | Unknown |
| Athena Advisory CRD: 328227 | - | 0 | 0 | - | Unknown |
| Athena Advisory Services Inc. CRD: 284174 | - | 0 | 0 | - | Unknown |
| Athena Capital Corporation CRD: 35941 | - | 0 | 0 | A | INACTIVE |
| Athena Capital Management CRD: 134185 | - | 0 | 0 | - | Unknown |
| Athena Capital Partners, Inc. CRD: 116226 | - | 1 | 0 | B | INACTIVE |
| Athena Financial & Insurance Services, Inc. CRD: 119701 | - | 0 | 0 | - | Unknown |
| Athena Global Investors, LLC CRD: 160749 | - | 0 | 0 | - | Unknown |
| Athena Leadership Corp. CRD: 173562 | - | 0 | 0 | - | Unknown |
| Athena Retirement Advisors, LLC CRD: 131863 | - | 0 | 0 | - | Unknown |
| Athena Trading, L.L.C. CRD: 43618 | - | 0 | 0 | A | INACTIVE |
| Athena Wealth Management CRD: 304017 | - | 0 | 1 | - | Unknown |
| Athena's Wealth, Inc. CRD: 306137 | - | 0 | 1 | - | Unknown |