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 |
|---|---|---|---|---|---|
| RAM Securities, Inc. CRD: 31090 | - | 0 | 0 | A | INACTIVE |
| RAM Strategies, LLC CRD: 313164 | - | 0 | 0 | - | Unknown |
| RAM Trading LLC CRD: 42645 | - | 0 | 0 | A | INACTIVE |
| Rama Capital Partners CRD: 166347 | - | 0 | 0 | - | Unknown |
| Ramajal CRD: 114739 | - | 0 | 0 | - | Unknown |
| Ramas Capital Management, LLC CRD: 290713 | - | 0 | 1 | - | Unknown |
| Ramat Securities Ltd. CRD: 37670 | - | 1 | 0 | B | INACTIVE |
| Ramig Financial Planning & Services CRD: 108630 | - | 0 | 0 | - | Unknown |
| Ramirez Asset Management, Inc. CRD: 110637 | - | 0 | 1 | - | Unknown |
| Ramirez Capital LLC CRD: 129891 | - | 0 | 0 | A | INACTIVE |
| Ramirez Tradetrek Securities LLC CRD: 105797 | - | 0 | 0 | A | INACTIVE |
| Ramius Advisors, LLC CRD: 110806 | - | 0 | 0 | - | Unknown |
| Ramius Securities LLC CRD: 41076 | - | 4 | 0 | C | INACTIVE |
| Ramos, Mario CRD: 324264 | - | 0 | 0 | - | Unknown |
| Ramp Advisory LLC CRD: 342371 | - | 0 | 1 | - | Unknown |
| Rampart Asset Management LLC CRD: 168549 | - | 0 | 4 | - | Unknown |
| Rampart Financial Services, Inc. CRD: 43294 | - | 0 | 0 | A | INACTIVE |
| Rampart Group, LLC CRD: 131964 | - | 0 | 0 | - | Unknown |
| Rampart Investment Management CRD: 165089 | - | 0 | 0 | - | Unknown |
| Rampart Portfolio Partners LLC CRD: 284406 | - | 0 | 0 | - | Unknown |
| Rampart Securities, Inc. CRD: 102900 | - | 0 | 0 | A | INACTIVE |
| Rampart Wealth Advisors CRD: 113389 | - | 0 | 0 | - | Unknown |
| Rampart Wealth Management CRD: 311211 | - | 0 | 1 | - | Unknown |
| Rams Head Securities, Inc. CRD: 43175 | - | 0 | 0 | A | INACTIVE |
| Ramsay Securities Corporation CRD: 14879 | - | 0 | 0 | A | INACTIVE |
| Ramsay Stattman Vela & Price Inc CRD: 105156 | - | 0 | 5 | - | Unknown |
| Ramsdell Capital Management, LLC CRD: 134297 | - | 0 | 1 | - | Unknown |
| Ramsey & Associates Inc CRD: 109475 | - | 0 | 0 | - | Unknown |
| Ramsey Hill Asset Management LLC CRD: 156768 | - | 0 | 1 | - | Unknown |
| Ramsey Quantitative Systems, Inc. CRD: 175257 | - | 0 | 1 | - | Unknown |
| RAN Makavy Angel Investments LLC CRD: 331550 | - | 0 | 1 | - | Unknown |
| Ranade Financial CRD: 324479 | - | 0 | 0 | - | Unknown |
| Rance King Securities Corp. CRD: 15737 | CA | 2 | 2 | B | Active |
| Ranch Capital Advisors Inc. CRD: 300966 | - | 0 | 2 | - | Unknown |
| Ranch Ventures Management, LLC CRD: 284671 | - | 0 | 0 | - | Unknown |
| Ranchos Ventures Management, LLC CRD: 339981 | - | 0 | 1 | - | Unknown |
| Ranchwood Capital Management CRD: 288155 | - | 0 | 1 | - | Unknown |
| Rancocas Group, LP CRD: 46185 | - | 0 | 0 | A | INACTIVE |
| Rancon Securities Corporation CRD: 8401 | - | 0 | 0 | A | INACTIVE |
| Rand & Associates CRD: 157807 | - | 0 | 0 | - | Unknown |
| Rand Advisors, LLC CRD: 172839 | - | 0 | 1 | - | Unknown |
| Rand Capital Management CRD: 304504 | - | 0 | 1 | - | Unknown |
| Rand Financial Planning, LLC CRD: 298613 | - | 0 | 1 | - | Unknown |
| Rand Group Financial CRD: 329132 | - | 0 | 1 | - | Unknown |
| Rand, Williams & Associates, LLC CRD: 159569 | - | 0 | 0 | - | Unknown |
| Randa Wealth Strategies CRD: 322339 | - | 0 | 1 | - | Unknown |
| Randall & Associates Wealth Management CRD: 323846 | - | 0 | 1 | - | Unknown |
| Randall & Dewey Investments, Inc. CRD: 36384 | - | 0 | 0 | A | INACTIVE |
| Randall & Dewey Securities, LLC CRD: 129078 | - | 0 | 0 | A | INACTIVE |
| Randall Financial LLC CRD: 325328 | - | 0 | 1 | - | Unknown |