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 |
|---|---|---|---|---|---|
| Raymond James Investment Management CRD: 174904 | - | 0 | 16 | - | Unknown |
| Raymond John Management LLC CRD: 333604 | - | 0 | 1 | - | Unknown |
| Raymond L. Gazelle JR. CRD: 141530 | - | 0 | 1 | - | Unknown |
| Raymond Liao Investment Advisor CRD: 312570 | - | 0 | 1 | - | Unknown |
| Raymond Marx Financial Advisory Group Inc. CRD: 144687 | - | 0 | 0 | - | Unknown |
| Raymond N Seakan D/B/a Performance Investment Mana… CRD: 142831 | - | 0 | 0 | - | Unknown |
| Raymond Ritter CRD: 13343 | - | 0 | 0 | A | INACTIVE |
| Raymond Street Advisers CRD: 331340 | - | 0 | 2 | - | Unknown |
| Raymond Wealth Management CRD: 116780 | - | 0 | 0 | - | Unknown |
| Raymond-Martin Financial Inc. CRD: 28492 | - | 0 | 0 | A | INACTIVE |
| Raynmaker Financial CRD: 336729 | - | 0 | 2 | - | Unknown |
| Rays Capital Partners Limited CRD: 171821 | - | 0 | 0 | - | Unknown |
| Rays Financial CRD: 283748 | - | 0 | 0 | - | Unknown |
| RAY|Theil Wealth Management, LLC CRD: 157443 | - | 0 | 0 | - | Unknown |
| RAZ Property Investments GP, LLC CRD: 289473 | - | 0 | 0 | - | Unknown |
| Razmar Management, LLC CRD: 300941 | - | 0 | 0 | - | Unknown |
| Razor Aptos LLC CRD: 332107 | - | 0 | 0 | - | Unknown |
| Razor GP 2 LLC CRD: 332108 | - | 0 | 0 | - | Unknown |
| Razor's Edge GP IV, LLC CRD: 333731 | - | 0 | 1 | - | Unknown |
| Razor's Edge Ventures II, LLC CRD: 297288 | - | 0 | 1 | - | Unknown |
| Razor's Edge Ventures III, LLC CRD: 319605 | - | 0 | 1 | - | Unknown |
| Razor's Edge Ventures, LLC CRD: 162941 | - | 0 | 0 | - | Unknown |
| Razzano Investment Management CRD: 152666 | - | 0 | 1 | - | Unknown |
| RB Advisors LLC CRD: 114846 | - | 0 | 0 | - | Unknown |
| RB Capital Management, LLC CRD: 125678 | - | 0 | 18 | - | Unknown |
| RB International Markets (USA) LLC CRD: 156031 | NY | 0 | 2 | A | Active |
| RB Investment Management Inc. CRD: 318967 | - | 0 | 1 | - | Unknown |
| RB Investments, LLC CRD: 269836 | - | 0 | 0 | - | Unknown |
| RB Salzman Wealth Management, LLC CRD: 174941 | - | 0 | 2 | - | Unknown |
| RB Stewart Financial LLC CRD: 332505 | - | 0 | 0 | - | Unknown |
| RB Ventures LLC CRD: 321949 | - | 0 | 0 | - | Unknown |
| RBA Wealth Management, LLC CRD: 291029 | - | 0 | 4 | - | Unknown |
| RBC Alternative Asset Management Inc. CRD: 139046 | - | 0 | 0 | - | Unknown |
| RBC Capital Markets Corporation CRD: 6579 | - | 18 | 0 | F | INACTIVE |
| RBC Capital Markets, LLC CRD: 31194 | NY | 490 | 4,053 | C | Active |
| RBC CM Fund Partners, LLC CRD: 298853 | - | 0 | 0 | - | Unknown |
| RBC CMA Ltd CRD: 121263 | - | 6 | 2 | C | Active |
| RBC Daniels, L.P. CRD: 14073 | - | 0 | 0 | A | INACTIVE |
| RBC Direct Investments, Inc. CRD: 22271 | - | 0 | 0 | A | INACTIVE |
| RBC Dominion Securities Arbitrage Limited CRD: 38035 | - | 0 | 0 | A | INACTIVE |
| RBC Global Asset Management (U.S.) Inc. CRD: 107173 | - | 0 | 1 | - | Unknown |
| RBC Global Asset Management (UK) Limited CRD: 168551 | - | 0 | 0 | - | Unknown |
| RBC Indigo Asset Management Inc. CRD: 161641 | - | 0 | 0 | - | Unknown |
| RBC Private Counsel (USA) Inc. CRD: 109648 | - | 0 | 0 | - | Unknown |
| RBC Rochdale, LLC CRD: 117198 | - | 0 | 156 | - | Unknown |
| RBC Securities, Inc CRD: 103705 | CA | 3 | 133 | B | Active |
| RBD Adaptive, LLC CRD: 162913 | - | 0 | 0 | - | Unknown |
| RBF Capital Management, Inc. CRD: 164524 | - | 0 | 1 | - | Unknown |
| RBF Wealth Advisors CRD: 104771 | - | 0 | 2 | - | Unknown |
| RBG Investments, Inc. CRD: 36528 | - | 0 | 0 | A | INACTIVE |