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 |
|---|---|---|---|---|---|
| Attessa Capital LLC CRD: 306827 | - | 0 | 1 | - | Unknown |
| Attestor Limited CRD: 162623 | - | 0 | 0 | - | Unknown |
| Atticus CRD: 310630 | - | 0 | 0 | - | Unknown |
| Atticus Asset Management, LLC CRD: 284490 | - | 0 | 0 | - | Unknown |
| Atticus Capital Advisors LLC CRD: 288009 | - | 0 | 1 | - | Unknown |
| Atticus Real Estate Capital, LLC CRD: 329573 | - | 0 | 1 | - | Unknown |
| Atticus Wealth Management CRD: 296949 | - | 0 | 5 | - | Unknown |
| Attinger, LLC CRD: 311772 | - | 0 | 1 | - | Unknown |
| Attis Securities CRD: 330249 | CO | 0 | 2 | A | Active |
| Attivo Legacy Advisors, LLC CRD: 109195 | - | 0 | 1 | - | Unknown |
| Attleboro Wealth Management LLC CRD: 318056 | - | 0 | 1 | - | Unknown |
| Attlee Capital LLC CRD: 300272 | - | 0 | 3 | - | Unknown |
| Attucks Asset Management, LLC CRD: 118891 | - | 0 | 1 | - | Unknown |
| Attunga Capital PTY Ltd CRD: 326266 | - | 0 | 0 | - | Unknown |
| ATV GP (VI) LLC CRD: 334497 | - | 0 | 1 | - | Unknown |
| ATW Partners LLC CRD: 283146 | - | 0 | 1 | - | Unknown |
| ATW Spac Management LLC CRD: 283737 | - | 0 | 1 | - | Unknown |
| Atwater Capital, LLC CRD: 299075 | - | 0 | 1 | - | Unknown |
| Atwater Malick CRD: 147972 | - | 0 | 1 | - | Unknown |
| Atwater Wealth Management, Inc. CRD: 172749 | - | 0 | 1 | - | Unknown |
| Atwima Wealth Management LLC CRD: 333085 | - | 0 | 2 | - | Unknown |
| Atwob CRD: 172961 | - | 0 | 1 | - | Unknown |
| Atwood & Palmer, Inc. CRD: 104995 | - | 0 | 1 | - | Unknown |
| Atwood Kent Securities, Inc. CRD: 13838 | - | 0 | 0 | A | INACTIVE |
| ATX Financial Planning, LLC CRD: 311589 | - | 0 | 1 | - | Unknown |
| ATX OZ Management, LLC CRD: 327616 | - | 0 | 1 | - | Unknown |
| ATX Portfolio Advisors, LLC CRD: 173821 | - | 0 | 1 | - | Unknown |
| ATX Seed GP, LLC CRD: 190512 | - | 0 | 0 | - | Unknown |
| ATX Venture Partners CRD: 289522 | - | 0 | 1 | - | Unknown |
| AU Advisors, Inc. CRD: 144660 | - | 0 | 0 | - | Unknown |
| AU Wealthplan CRD: 159438 | - | 0 | 0 | - | Unknown |
| AUA Capital Management CRD: 164914 | - | 0 | 0 | - | Unknown |
| AUA Private Equity Partners, LLC CRD: 170597 | - | 0 | 1 | - | Unknown |
| AUA Private Wealth Advisors, LLC CRD: 323621 | - | 0 | 0 | - | Unknown |
| AUB Investments, LLC CRD: 169220 | - | 0 | 0 | - | Unknown |
| Auberge Resorts Management LLC CRD: 226614 | - | 0 | 0 | - | Unknown |
| Aubrey & Company CRD: 127842 | - | 0 | 0 | A | INACTIVE |
| Aubrey G. Lanston & Co., Inc. CRD: 19695 | - | 1 | 0 | B | INACTIVE |
| Aubrey N. Seeman & Co., Inc. CRD: 23191 | - | 0 | 0 | A | INACTIVE |
| Auburn Securities Corporation CRD: 15969 | - | 0 | 0 | A | INACTIVE |
| Auburn Skies Financial Advisors CRD: 340211 | - | 0 | 1 | - | Unknown |
| Auburndale Investment Management CRD: 129299 | - | 0 | 0 | - | Unknown |
| Auchincloss and Lawrence Inc. CRD: 336747 | - | 0 | 1 | - | Unknown |
| Auctus Advisors LLC CRD: 289489 | - | 0 | 2 | - | Unknown |
| Auctus Asesores S. L. CRD: 308383 | - | 0 | 0 | - | Unknown |
| Auctus Fund Mangement LLC CRD: 172509 | - | 0 | 1 | - | Unknown |
| Auctus Management GMBH & Co. KG CRD: 175366 | - | 0 | 0 | - | Unknown |
| Auctus Wealth Management Inc. CRD: 160036 | - | 0 | 1 | - | Unknown |
| Audacity Venture Management, LLC CRD: 332685 | - | 0 | 1 | - | Unknown |
| Audax Private Debt CRD: 159458 | - | 0 | 1 | - | Unknown |