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 |
|---|---|---|---|---|---|
| Raton Wealth CRD: 290027 | - | 0 | 1 | - | Unknown |
| Ratson Advisory LLC CRD: 330091 | - | 0 | 1 | - | Unknown |
| Rattan Financial Management, Inc. CRD: 160463 | - | 0 | 0 | - | Unknown |
| Rattlesnake Creek Capital LLC CRD: 332008 | - | 0 | 1 | - | Unknown |
| Raub Brock Capital Management, LP CRD: 153994 | - | 0 | 1 | - | Unknown |
| Rauch Advisory LLC CRD: 155681 | - | 0 | 4 | - | Unknown |
| Raudenbush Financial Services LLC CRD: 312392 | - | 0 | 0 | - | Unknown |
| Rauschenberger Financial Advisors CRD: 160230 | - | 0 | 0 | - | Unknown |
| Rauscher Pierce Refsnes, Inc. CRD: 6663 | - | 0 | 0 | A | INACTIVE |
| RAV Financial CRD: 106632 | - | 0 | 0 | - | Unknown |
| Ravelin Capital, LLC CRD: 328288 | - | 0 | 1 | - | Unknown |
| Ravello Partners LLC CRD: 164718 | - | 0 | 1 | - | Unknown |
| Raven Capital Management LLC CRD: 164755 | - | 0 | 1 | - | Unknown |
| Raven Credit Capital Management LLC CRD: 331556 | - | 0 | 1 | - | Unknown |
| Raven Music Partners LLC CRD: 332058 | - | 0 | 1 | - | Unknown |
| Raven Ridge Advisors, LLC CRD: 305494 | - | 0 | 0 | - | Unknown |
| Raven Rock CRD: 155925 | - | 0 | 0 | - | Unknown |
| Raven Securities Corp. CRD: 35201 | - | 1 | 0 | B | INACTIVE |
| Raven Securities LLC CRD: 104125 | - | 0 | 0 | A | INACTIVE |
| Raven Wealth Advisors CRD: 339849 | - | 0 | 1 | - | Unknown |
| Ravenel, Eiserhardt Securities, Inc. CRD: 18215 | - | 0 | 0 | A | INACTIVE |
| Raveneur Investment Group LP CRD: 170753 | - | 0 | 0 | - | Unknown |
| Ravensview Capital Management, LLC CRD: 286242 | - | 0 | 1 | - | Unknown |
| Ravenswood Partners LP CRD: 327106 | - | 0 | 1 | - | Unknown |
| Ravenwood Capital Management, LLC CRD: 226679 | - | 0 | 2 | - | Unknown |
| Ravikant Capital Management, LLC CRD: 330396 | - | 0 | 0 | - | Unknown |
| Ravikant Investments LLC CRD: 330331 | - | 0 | 0 | - | Unknown |
| Ravine Road Advisors CRD: 328051 | - | 0 | 2 | - | Unknown |
| RAW Capital Fund MGMT LLC CRD: 342130 | - | 0 | 1 | - | Unknown |
| Rawlings Wealth Management CRD: 171087 | - | 0 | 1 | - | Unknown |
| Rawtax Enterprises, Inc. CRD: 13702 | - | 0 | 0 | A | INACTIVE |
| RAY Capital Management LLC CRD: 323127 | - | 0 | 0 | - | Unknown |
| RAY Johnson & Associates CRD: 15039 | - | 0 | 0 | A | INACTIVE |
| RAY Mignone & Associates, Inc. CRD: 112307 | - | 0 | 0 | - | Unknown |
| RAY Securities, Inc. CRD: 20005 | - | 0 | 0 | A | INACTIVE |
| Rayburn West Financial Services CRD: 145264 | - | 0 | 1 | - | Unknown |
| Rayliant Asset Management, LLC CRD: 150978 | - | 0 | 0 | - | Unknown |
| Rayliant Investment Research CRD: 306119 | - | 0 | 1 | - | Unknown |
| Raylign Advisory, LLC CRD: 135305 | - | 0 | 0 | - | Unknown |
| Raylor Investments LLC CRD: 139675 | - | 0 | 0 | - | Unknown |
| Raymar Capital, LLC. CRD: 43898 | - | 1 | 0 | B | INACTIVE |
| Raymon Capital Advisors, LLC CRD: 301125 | - | 0 | 1 | - | Unknown |
| Raymond C. Forbes & Co., Inc. CRD: 33090 | - | 3 | 0 | C | INACTIVE |
| Raymond Capital Advisors, LLC CRD: 154412 | - | 0 | 2 | - | Unknown |
| Raymond James & Associates, Inc. CRD: 705 | FL | 253 | 3,107 | C | Active |
| Raymond James (USA) Ltd. CRD: 25853 | - | 1 | 0 | C | Active |
| Raymond James Financial Services Advisors, Inc CRD: 149018 | - | 0 | 8,125 | - | Unknown |
| Raymond James Financial Services, Inc. CRD: 6694 | FL | 204 | 3,736 | B | Active |
| Raymond James Insurance Group, Inc. CRD: 121221 | - | 0 | 0 | A | INACTIVE |
| Raymond James Investment Counsel Ltd. CRD: 128324 | - | 0 | 0 | - | Unknown |