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 |
|---|---|---|---|---|---|
| RED OAK Financial Group CRD: 166912 | - | 0 | 1 | - | Unknown |
| RED OAK Investment Solutions LLC CRD: 327025 | - | 0 | 1 | - | Unknown |
| RED OAK Partners, LLC CRD: 172149 | - | 0 | 0 | - | Unknown |
| RED OAK Securities LLC CRD: 129832 | - | 0 | 0 | A | INACTIVE |
| RED Pine Investment Counsel, Inc. CRD: 159079 | - | 0 | 0 | - | Unknown |
| RED Reef Advisors LLC CRD: 174748 | - | 0 | 2 | - | Unknown |
| RED River Capital CRD: 341266 | - | 0 | 2 | - | Unknown |
| RED River Securities, LLC CRD: 149860 | - | 4 | 0 | C | INACTIVE |
| RED Rock Advisors CRD: 170133 | - | 0 | 0 | - | Unknown |
| RED Rock Capital Advisors, LLC CRD: 121855 | - | 0 | 1 | - | Unknown |
| RED Rock Capital Management LLC CRD: 301926 | - | 0 | 1 | - | Unknown |
| RED Rock Investments, Inc. CRD: 13910 | - | 0 | 0 | A | INACTIVE |
| RED Rock Trading International Ltd. CRD: 29603 | - | 0 | 0 | A | INACTIVE |
| RED Rock Trading, L.L.C. CRD: 40306 | - | 0 | 0 | A | INACTIVE |
| RED Rock Ventures CRD: 163751 | - | 0 | 0 | - | Unknown |
| RED Rocks Capital LLC CRD: 135117 | - | 0 | 0 | - | Unknown |
| RED Rooster Ventures Management LLC CRD: 316618 | - | 0 | 1 | - | Unknown |
| RED Seven CRD: 168542 | - | 0 | 2 | - | Unknown |
| RED Shepherd Ventures, LLC CRD: 317236 | - | 0 | 1 | - | Unknown |
| RED SKY Capital Management CRD: 151808 | - | 0 | 2 | - | Unknown |
| RED SKY Financial Planning, LLC CRD: 297597 | - | 0 | 1 | - | Unknown |
| RED SKY Management, LLC CRD: 306406 | - | 0 | 1 | - | Unknown |
| RED Spruce Capital, LLC CRD: 158720 | - | 0 | 3 | - | Unknown |
| RED Stick Consulting, LLC CRD: 341129 | - | 0 | 1 | - | Unknown |
| RED Swan Private Client CRD: 307278 | - | 0 | 3 | - | Unknown |
| RED Swan Ventures Management, LLC CRD: 319063 | - | 0 | 1 | - | Unknown |
| RED TOP Advisors LLC CRD: 290239 | - | 0 | 1 | - | Unknown |
| RED Torch Capital LLC CRD: 318442 | - | 0 | 2 | - | Unknown |
| RED Tortoise CRD: 282509 | - | 0 | 5 | - | Unknown |
| RED Tree Investments CRD: 319528 | - | 0 | 2 | - | Unknown |
| RED Tree Management, LLC CRD: 311115 | - | 0 | 1 | - | Unknown |
| RED Triangle, LLC CRD: 147700 | - | 0 | 2 | - | Unknown |
| RED Wing Capital, LLC CRD: 149480 | - | 1 | 0 | B | INACTIVE |
| RED Wing Financial LLC CRD: 284225 | - | 0 | 0 | - | Unknown |
| RED Zone Capital Management Company, LLC CRD: 161505 | - | 0 | 0 | - | Unknown |
| RED-Horse Securities, LLC CRD: 104169 | - | 0 | 0 | A | INACTIVE |
| Redan Capital Management, LLC CRD: 284562 | - | 0 | 0 | - | Unknown |
| Redbird BD LLC CRD: 297239 | NY | 0 | 4 | A | Active |
| Redbird Capital Partners Management LLC CRD: 168862 | - | 0 | 1 | - | Unknown |
| Redblack Advisers, Inc. CRD: 151692 | - | 0 | 4 | - | Unknown |
| Redbridge Global Markets, LLC CRD: 319550 | TX | 0 | 2 | A | Active |
| Redbridge Securities LLC CRD: 287912 | TX | 1 | 2 | B | Active |
| Redbud Advisors CRD: 300477 | - | 0 | 1 | - | Unknown |
| Redbud Advisory Services, LLC CRD: 312307 | - | 0 | 0 | - | Unknown |
| Redbud VC II, LLC CRD: 326633 | - | 0 | 1 | - | Unknown |
| Redbud Ventures Management, LLC CRD: 324463 | - | 0 | 1 | - | Unknown |
| Redd Carbon & Biodiversity Advisors, LLC CRD: 156891 | - | 0 | 0 | - | Unknown |
| Redding Financial, LLC CRD: 305004 | - | 0 | 0 | - | Unknown |
| Redding Green Capital CRD: 315933 | - | 0 | 1 | - | Unknown |
| Redding Ridge Asset Management (UK) LLP CRD: 284256 | - | 0 | 0 | - | Unknown |