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 |
|---|---|---|---|---|---|
| R.W. MAK Investments CRD: 113442 | - | 0 | 0 | - | Unknown |
| R.W. Pressprich & Co. Incorporated CRD: 10172 | - | 0 | 0 | A | INACTIVE |
| R.W. Roge & Company, Inc CRD: 104645 | - | 0 | 4 | - | Unknown |
| R.W. Smith & Associates, LLC CRD: 16605 | NJ | 1 | 6 | B | Active |
| R.W. Towt & Associates CRD: 128837 | - | 9 | 0 | D | INACTIVE |
| R.W.C. Associates, Inc. CRD: 7492 | - | 0 | 0 | A | INACTIVE |
| R.W.PRESSPRICH & Co. CRD: 26460 | - | 4 | 0 | C | INACTIVE |
| R/Evolution Gate CRD: 323363 | - | 0 | 0 | - | Unknown |
| R01 Capital Manager LLC CRD: 329814 | - | 0 | 1 | - | Unknown |
| R1 Financial Group CRD: 166051 | - | 0 | 1 | - | Unknown |
| R136 Ventures CRD: 323997 | - | 0 | 0 | - | Unknown |
| R136 Ventures CRD: 323993 | - | 0 | 1 | - | Unknown |
| R136 Ventures UAE CRD: 325540 | - | 0 | 0 | - | Unknown |
| R2 Asset Management, LLC CRD: 325487 | - | 0 | 0 | - | Unknown |
| R2 Capital Management, LLC CRD: 313220 | - | 0 | 0 | - | Unknown |
| R2 Wealth Management Partners CRD: 338490 | - | 0 | 3 | - | Unknown |
| R3 Returns, LLC CRD: 163138 | - | 0 | 0 | - | Unknown |
| R3I Capital CRD: 327814 | - | 0 | 0 | - | Unknown |
| R3I LLC CRD: 340483 | - | 0 | 1 | - | Unknown |
| R3WC Capital CRD: 335371 | - | 0 | 0 | - | Unknown |
| R42 Group LLC CRD: 312974 | - | 0 | 1 | - | Unknown |
| R5 Capital Management CRD: 169098 | - | 0 | 1 | - | Unknown |
| R7 Partners CRD: 299385 | - | 0 | 1 | - | Unknown |
| RA Advisory LLC CRD: 165395 | - | 0 | 1 | - | Unknown |
| RA Capital Advisors LLC CRD: 40992 | CA | 0 | 2 | A | Active |
| RA Capital Management, LP CRD: 160174 | - | 0 | 1 | - | Unknown |
| RAA CRD: 108203 | - | 0 | 0 | - | Unknown |
| Raaf Investment Advisors, LLC CRD: 156004 | - | 0 | 1 | - | Unknown |
| Raamps, LLC CRD: 305811 | - | 0 | 0 | - | Unknown |
| Raba Capital, LLC CRD: 305317 | - | 0 | 1 | - | Unknown |
| Rabbanian Financial Planning, Inc. CRD: 114395 | - | 0 | 1 | - | Unknown |
| Rabbitplans CRD: 338966 | - | 0 | 1 | - | Unknown |
| Rabbitt Capital Management, LLC CRD: 124442 | - | 0 | 0 | - | Unknown |
| Rabco Asset Management CRD: 136530 | - | 0 | 0 | - | Unknown |
| Rabe Investment Consulting Group CRD: 289011 | - | 0 | 0 | - | Unknown |
| Rabe Investment Consulting Group CRD: 316029 | - | 0 | 1 | - | Unknown |
| Raben Trading, LLC CRD: 117961 | - | 0 | 0 | A | INACTIVE |
| Rabenold Advisors, Inc. CRD: 283882 | - | 0 | 1 | - | Unknown |
| Rabkin Advisors LLC CRD: 288531 | - | 0 | 1 | - | Unknown |
| Rabo Inc. CRD: 116092 | - | 0 | 0 | - | Unknown |
| Rabo Securities USA, Inc. CRD: 122657 | NY | 0 | 6 | A | Active |
| Race Capital Management Company, L.L.C. CRD: 324710 | - | 0 | 1 | - | Unknown |
| Race Capital, L.L.C. CRD: 308466 | - | 0 | 0 | - | Unknown |
| Race Rock Capital LLC CRD: 153363 | MA | 0 | 3 | A | Active |
| Rachor Investment Advisory Services, LLC CRD: 105495 | - | 0 | 1 | - | Unknown |
| Rack Consulting LLC CRD: 281961 | - | 0 | 1 | - | Unknown |
| Rackhouse Venture Management LP CRD: 313694 | - | 0 | 1 | - | Unknown |
| Racon Capital CRD: 166508 | - | 0 | 0 | - | Unknown |
| Racz Financial Services CRD: 153915 | - | 0 | 0 | - | Unknown |
| RAD Capital GP LLC CRD: 342598 | - | 0 | 1 | - | Unknown |