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 |
|---|---|---|---|---|---|
| Purpose Capital Advisors CRD: 307838 | - | 0 | 1 | - | Unknown |
| Purpose Capital LLC CRD: 341235 | - | 0 | 1 | - | Unknown |
| Purpose Driven Wealth Advisors LLC CRD: 339806 | - | 0 | 1 | - | Unknown |
| Purpose Financial Planning CRD: 331194 | - | 0 | 1 | - | Unknown |
| Purpose Financial Planning LLC CRD: 288823 | - | 0 | 1 | - | Unknown |
| Purpose First Financial, LLC CRD: 316968 | - | 0 | 1 | - | Unknown |
| Purpose Wealth CRD: 328934 | - | 0 | 1 | - | Unknown |
| Purpose1ST Financial CRD: 339089 | - | 0 | 1 | - | Unknown |
| Purposeful Financial CRD: 296967 | - | 0 | 0 | - | Unknown |
| Purposeful Financial and Legacy Planning CRD: 135813 | - | 0 | 2 | - | Unknown |
| Purposeful Money, LLC CRD: 144455 | - | 0 | 0 | - | Unknown |
| Purposeful Planning CRD: 299221 | - | 0 | 1 | - | Unknown |
| Purposeful Strategic Partners CRD: 292853 | - | 0 | 2 | - | Unknown |
| Purposepath Capital, LLC CRD: 315556 | - | 0 | 3 | - | Unknown |
| Pursestrings CRD: 129298 | - | 0 | 0 | - | Unknown |
| Purshe Kaplan Sterling Investments CRD: 35747 | NY | 13 | 623 | B | Active |
| Purshottam NI LLC CRD: 312648 | - | 0 | 0 | - | Unknown |
| Pursino Advisory Group LLC CRD: 166614 | - | 0 | 0 | - | Unknown |
| Pursue Wealth Partners, LLC CRD: 326348 | - | 0 | 3 | - | Unknown |
| Pursuit Financial, LLC CRD: 306348 | - | 0 | 0 | - | Unknown |
| Pursuit Fund Advisers LLC CRD: 333442 | - | 0 | 1 | - | Unknown |
| Pursuit Partners LLC CRD: 115014 | - | 0 | 0 | A | INACTIVE |
| Pursuit Planning and Investments, LLC CRD: 297257 | - | 0 | 1 | - | Unknown |
| Pursuit Wealth Management CRD: 115416 | - | 0 | 2 | - | Unknown |
| Pursuit Wealth Managment LLC CRD: 308969 | - | 0 | 0 | - | Unknown |
| Purtill Financial LLC CRD: 133764 | - | 0 | 5 | - | Unknown |
| Purus Wealth Management, LLC CRD: 174490 | - | 0 | 2 | - | Unknown |
| Purview Financial, LLC CRD: 289264 | - | 0 | 0 | - | Unknown |
| Purview Investments LLC CRD: 289843 | - | 0 | 0 | - | Unknown |
| Purvis Investments, Inc. CRD: 124996 | - | 0 | 2 | - | Unknown |
| Pushkin Advisory Group, LLC CRD: 226674 | - | 0 | 2 | - | Unknown |
| Putnam Investment Management, LLC CRD: 106629 | - | 0 | 1 | - | Unknown |
| Putnam Investments Limited CRD: 122254 | - | 0 | 0 | - | Unknown |
| Putnam Retail Management Limited Partnership CRD: 7325 | - | 5 | 0 | C | INACTIVE |
| PV Advisors GP, LLC CRD: 152750 | - | 0 | 0 | - | Unknown |
| PV IV GP, LLC CRD: 284106 | - | 0 | 1 | - | Unknown |
| PV SPV Management, LLC CRD: 332399 | - | 0 | 0 | - | Unknown |
| PV V GP, LLC CRD: 330653 | - | 0 | 0 | - | Unknown |
| PVA Financial, LLC CRD: 312523 | - | 0 | 2 | - | Unknown |
| PVB Wealth Management, LLC CRD: 300092 | - | 0 | 1 | - | Unknown |
| PVG Asset Management Corp CRD: 105541 | - | 0 | 6 | - | Unknown |
| Pvglobal LLC CRD: 294039 | - | 0 | 1 | - | Unknown |
| PVL Capital Advisors, Inc. CRD: 304111 | - | 0 | 0 | - | Unknown |
| PVR Securities, Inc. CRD: 21647 | - | 4 | 0 | C | INACTIVE |
| PW Capital Management, LLC CRD: 281492 | - | 0 | 1 | - | Unknown |
| PW Global Advisors CRD: 146816 | - | 0 | 0 | - | Unknown |
| PW Nova Financial Services LLC CRD: 333595 | - | 0 | 2 | - | Unknown |
| PW Partners Capital Management, LLC CRD: 171063 | - | 0 | 0 | - | Unknown |
| PW Securities, Inc. CRD: 6775 | - | 0 | 0 | A | INACTIVE |
| PWA Financial CRD: 165369 | - | 0 | 0 | - | Unknown |