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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Rice Pontes Capital, Inc.
CRD: 40056
 - 0 0 A INACTIVE
Rice Wealth Management Group, Inc.
CRD: 308210
 - 0 1 - Unknown
Rice, Voelker, LLC
CRD: 39838
 - 3 3 B INACTIVE
Riceberg Ventures, LLC
CRD: 329804
 - 0 0 - Unknown
Rich & Company LLC
CRD: 328351
 - 0 1 - Unknown
Rich Advisory Corp
CRD: 104832
 - 0 0 - Unknown
Rich Capital Management
CRD: 115498
 - 0 1 - Unknown
Rich Dewitt Wealth Management LLC
CRD: 327682
 - 0 1 - Unknown
Rich Investment Solutions, LLC
CRD: 151883
 - 0 0 - Unknown
Rich Investments Inc
CRD: 111125
 - 0 0 - Unknown
Rich Michaels Investments, LLC
CRD: 313661
 - 0 1 - Unknown
Rich Options Co.
CRD: 32303
 - 0 0 A INACTIVE
Rich Retirement Solutions LLC
CRD: 148725
 - 0 0 - Unknown
Richard a. Norkun & Associates, LLC
CRD: 126177
 - 0 0 - Unknown
Richard a. Saso & Associates-Investment Securities
CRD: 21242
 - 0 0 A INACTIVE
Richard a. Stebbins CPA CFP CMFC
CRD: 123694
 - 0 1 - Unknown
Richard Arduino Investment Advisory Services
CRD: 112542
 - 0 0 - Unknown
Richard B. Nigbor, LLC
CRD: 112917
 - 0 0 - Unknown
Richard B. Ross
CRD: 3223
 - 0 0 A INACTIVE
Richard B. Vance & Company
CRD: 3656
 - 2 0 B INACTIVE
Richard Bernstein Advisors LLC
CRD: 153577
 - 0 1 - Unknown
Richard Brothers Securities
CRD: 105285
 ME 0 2 A Active
Richard Brothers, Financial Advisors
CRD: 113826
 - 0 1 - Unknown
Richard C. Naso Co., Inc.
CRD: 32381
 - 1 0 B INACTIVE
Richard Cerminara Investor Services, LLC
CRD: 311072
 - 0 0 - Unknown
Richard D. Schubert, Inc.
CRD: 8532
 - 0 0 A INACTIVE
Richard Desalvo Consulting, LLC
CRD: 174035
 - 0 0 - Unknown
Richard Fleischer & Co.
CRD: 1870
 - 0 0 A INACTIVE
Richard Fontaine Associates Inc.
CRD: 120998
 - 0 0 - Unknown
Richard G. Johnson & Co., Inc.
CRD: 2363
 - 0 0 A INACTIVE
Richard G. Slater
CRD: 112239
 - 0 1 - Unknown
Richard H. Morrison
CRD: 151759
 - 0 0 - Unknown
Richard J. Altobelli & Co.
CRD: 1056
 - 2 0 B INACTIVE
Richard J. ASH Associates, Inc.
CRD: 10751
 - 0 0 A INACTIVE
Richard J. Swiat, Ltd.
CRD: 124029
 - 0 0 - Unknown
Richard James & Associates, Inc.
CRD: 169131
 NY 0 2 A Active
Richard L. Costa & Associates
CRD: 135049
 - 0 0 - Unknown
Richard L. Eisner, C.P.A., P.C.
CRD: 125103
 - 0 2 - Unknown
Richard L. Evans Investment Management, LLC
CRD: 122170
 - 0 0 - Unknown
Richard Lees Capital Management
CRD: 111785
 - 0 2 - Unknown
Richard M Vermeiren, DBA, the Financial Consultan…
CRD: 116939
 - 0 0 - Unknown
Richard Mercado CFP CPA
CRD: 141182
 - 0 0 - Unknown
Richard Miller Financial Services, LLC
CRD: 159553
 - 0 1 - Unknown
Richard N. Sirott Accountancy Corporation
CRD: 134360
 - 0 2 - Unknown
Richard NEY & Associates Asset Management, Inc.
CRD: 109075
 - 0 2 - Unknown
Richard P. Doleva & Associates
CRD: 127752
 - 0 2 - Unknown
Richard P. Duffee, L.P.
CRD: 33293
 - 0 0 A INACTIVE
Richard P. Slaughter Associates, Inc.
CRD: 109080
 - 0 3 - Unknown
Richard PEW Investment Counsel, LLC
CRD: 135766
 - 0 0 - Unknown
Richard Roberts Capital Corp.
CRD: 15465
 - 0 0 A INACTIVE
Page 1213 of 1601 (80,028 total)
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