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 |
|---|---|---|---|---|---|
| Regal BAY Investment Group, LLC CRD: 121829 | - | 0 | 2 | - | Unknown |
| Regal Capital Advisors, LLC CRD: 149689 | - | 0 | 0 | A | INACTIVE |
| Regal Capital Management, Inc. CRD: 126952 | - | 0 | 2 | - | Unknown |
| Regal Funds Management CRD: 162211 | - | 0 | 0 | - | Unknown |
| Regal Funds Management Asia PTE Limited CRD: 299134 | - | 0 | 0 | - | Unknown |
| Regal Healthcare Capital Management, LLC CRD: 294006 | - | 0 | 1 | - | Unknown |
| Regal Investment Advisors LLC CRD: 125004 | - | 0 | 122 | - | Unknown |
| Regal Investments Inc CRD: 169680 | - | 0 | 0 | - | Unknown |
| Regal OAK Financial, LLC CRD: 283187 | - | 0 | 1 | - | Unknown |
| Regal Partners (Hong Kong) Limited CRD: 338964 | - | 0 | 0 | - | Unknown |
| Regal Partners Funds Management PTY Limited CRD: 340791 | - | 0 | 0 | - | Unknown |
| Regal Partners Limited CRD: 165751 | - | 0 | 0 | - | Unknown |
| Regal Securities, Inc. CRD: 7297 | IL | 15 | 11 | B | Active |
| Regal Wealth Group Inc. CRD: 138374 | - | 0 | 0 | - | Unknown |
| Regal Wealth Management, LLC CRD: 305480 | - | 0 | 0 | - | Unknown |
| Regalia Financial Advisors, LLC CRD: 207514 | - | 0 | 0 | - | Unknown |
| Regalis Solutions LLC CRD: 300001 | - | 0 | 1 | - | Unknown |
| Regan Capital CRD: 158294 | - | 0 | 1 | - | Unknown |
| Regan Financial Group, LLC CRD: 168939 | - | 0 | 0 | - | Unknown |
| Regan Financial Group, LLC CRD: 284756 | - | 0 | 1 | - | Unknown |
| Regan Investments, Inc. CRD: 121868 | - | 0 | 2 | - | Unknown |
| Regatta Advisors CRD: 169943 | - | 0 | 0 | - | Unknown |
| Regatta Capital Group, LLC CRD: 145363 | - | 0 | 5 | - | Unknown |
| Regatta Financial LLC CRD: 333067 | - | 0 | 1 | - | Unknown |
| Regatta Loan Management LLC CRD: 226518 | - | 0 | 0 | - | Unknown |
| Regatta Research & Money Management L.L.C. CRD: 113181 | - | 0 | 7 | - | Unknown |
| Regatta Ventures Management, LLC CRD: 317928 | - | 0 | 0 | - | Unknown |
| Regen Ventures Management PTY Ltd CRD: 318075 | - | 0 | 0 | - | Unknown |
| Regency Capital Group, Inc. CRD: 30764 | - | 0 | 0 | A | INACTIVE |
| Regency Capital Management Inc. CRD: 312435 | - | 0 | 2 | - | Unknown |
| Regency Financial Corporation CRD: 16481 | - | 0 | 0 | A | INACTIVE |
| Regency Financial Group CRD: 139892 | - | 0 | 1 | - | Unknown |
| Regency Financial Planning, LLC CRD: 150287 | - | 0 | 0 | - | Unknown |
| Regency Financial, LLC CRD: 128008 | - | 0 | 2 | - | Unknown |
| Regency Investment Advisors Inc CRD: 106990 | - | 0 | 0 | - | Unknown |
| Regency Investments, Inc. CRD: 10498 | - | 0 | 0 | A | INACTIVE |
| Regency Securities, Inc. CRD: 7846 | - | 0 | 0 | A | INACTIVE |
| Regency Wealth Management CRD: 131208 | - | 0 | 2 | - | Unknown |
| Regency Windsor, Inc. CRD: 13106 | - | 2 | 0 | B | INACTIVE |
| REGENERATION.VC, LLC CRD: 319784 | - | 0 | 1 | - | Unknown |
| Regenesys Capital Management LLC CRD: 337526 | - | 0 | 1 | - | Unknown |
| Regent Capital Group, Inc. CRD: 126881 | - | 1 | 0 | B | INACTIVE |
| Regent Equities, Inc. CRD: 17608 | - | 0 | 0 | A | INACTIVE |
| Regent Investment Advisors, Inc. CRD: 148328 | - | 0 | 0 | - | Unknown |
| Regent Investment Management LLC CRD: 164372 | - | 0 | 0 | - | Unknown |
| Regent Peak Wealth Advisors, LLC CRD: 298259 | - | 0 | 5 | - | Unknown |
| Regent Properties CRD: 309360 | - | 0 | 6 | - | Unknown |
| Regent Securities Corporation CRD: 15942 | - | 0 | 0 | A | INACTIVE |
| Regent Street Advisors LLC CRD: 282743 | - | 0 | 0 | - | Unknown |
| Regent U.S., Inc CRD: 104015 | - | 0 | 0 | A | INACTIVE |