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 |
|---|---|---|---|---|---|
| Regent Wealth Management Group CRD: 113722 | - | 0 | 0 | - | Unknown |
| Regent Wealth Management, Inc. CRD: 150197 | - | 0 | 1 | - | Unknown |
| Regent's Wealth Planning LLC CRD: 330602 | - | 0 | 0 | - | Unknown |
| Regentatlantic CRD: 105995 | - | 0 | 0 | - | Unknown |
| Regents Gate Capital LLP CRD: 331810 | - | 0 | 0 | - | Unknown |
| Regents Park Funds, LLC CRD: 284684 | - | 0 | 1 | - | Unknown |
| Regents Partners, LLC CRD: 311755 | - | 0 | 0 | - | Unknown |
| Regents Partners, LLC CRD: 322915 | - | 0 | 2 | - | Unknown |
| Regents Wealth Management, LLC CRD: 340798 | - | 0 | 2 | - | Unknown |
| Regimen Wealth, LLC CRD: 309672 | - | 0 | 1 | - | Unknown |
| Regiment Securities, LLC. CRD: 311302 | IL | 0 | 2 | A | Active |
| Region Cuatro, LLC CRD: 319228 | - | 0 | 1 | - | Unknown |
| Regional Brokers, Inc. CRD: 30392 | - | 2 | 0 | B | INACTIVE |
| Regional Clearing Corp. CRD: 14631 | - | 0 | 0 | A | INACTIVE |
| Regional Investment Advisors, Inc CRD: 145563 | - | 0 | 0 | - | Unknown |
| Regional Investment Advisors, LLC CRD: 325862 | - | 0 | 0 | - | Unknown |
| Regional Investment Services, Inc. CRD: 46929 | FL | 1 | 2 | B | Active |
| Regional Securities Corporation CRD: 1118 | - | 0 | 0 | A | INACTIVE |
| Regions Investment Company, Inc. CRD: 17618 | - | 6 | 0 | D | INACTIVE |
| Regions Investment Management, Inc. CRD: 111715 | - | 0 | 1 | - | Unknown |
| Regions Securities LLC CRD: 159475 | GA | 1 | 8 | B | Active |
| Regis Advisers, LLC CRD: 281774 | - | 0 | 0 | - | Unknown |
| Regis Asset Management LLC CRD: 125872 | - | 0 | 0 | - | Unknown |
| Regis Management Company, LLC CRD: 128449 | - | 0 | 0 | - | Unknown |
| Regis Management, a Mercer Advisors Company CRD: 323495 | - | 0 | 0 | - | Unknown |
| Regis Metro Associates, Inc. CRD: 160859 | - | 0 | 1 | - | Unknown |
| Regis Securities Corporation CRD: 103711 | - | 1 | 0 | B | INACTIVE |
| Regis Securities Corporation CRD: 13483 | - | 0 | 0 | A | INACTIVE |
| Regista Financial Strategies, LLC CRD: 326555 | - | 0 | 1 | - | Unknown |
| Register Financial Advisors, LLC CRD: 143884 | - | 0 | 3 | - | Unknown |
| Register Financial Associates, Inc. CRD: 30568 | GA | 2 | 2 | B | Active |
| Registered Financial Group,Ltd. CRD: 14188 | - | 0 | 0 | A | INACTIVE |
| Registered Fund Solutions, LLC CRD: 156976 | - | 0 | 0 | - | Unknown |
| Registered Investment Advisors, LLC CRD: 318560 | - | 0 | 1 | - | Unknown |
| Regolith Ventures Management Company, LLC CRD: 323889 | - | 0 | 1 | - | Unknown |
| Regula Aurea CRD: 311776 | - | 0 | 0 | - | Unknown |
| Regulus Financial Group, LLC CRD: 150631 | MI | 5 | 71 | B | Active |
| REH Wealth Advisors LLC CRD: 153826 | - | 0 | 1 | - | Unknown |
| Reha, Inc., Registered Investment Advisor CRD: 155194 | - | 0 | 0 | - | Unknown |
| Rehmann Financial Network, LLC CRD: 165027 | MI | 0 | 15 | A | Active |
| Rehmann Wealth CRD: 123047 | - | 0 | 35 | - | Unknown |
| Rehoboth Financial Planning, Inc. CRD: 333840 | - | 0 | 1 | - | Unknown |
| Rehoboth Securities, Inc. CRD: 13012 | - | 0 | 0 | A | INACTIVE |
| REI Wealth Management CRD: 172220 | - | 0 | 1 | - | Unknown |
| Reiber Wealth CRD: 317166 | - | 0 | 1 | - | Unknown |
| Reich & Co., Inc. CRD: 3148 | - | 0 | 0 | A | INACTIVE |
| Reich & Co., Inc. CRD: 19611 | - | 0 | 0 | A | INACTIVE |
| Reich & Tang Distributors, Inc. CRD: 28078 | - | 0 | 0 | A | INACTIVE |
| Reich & Tang, L.P. CRD: 5275 | - | 0 | 0 | A | INACTIVE |
| Reichard Capital, LLC CRD: 305695 | - | 0 | 3 | - | Unknown |