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 |
|---|---|---|---|---|---|
| Richard S Park RIA Limited Liability Company CRD: 311844 | - | 0 | 0 | - | Unknown |
| Richard S. Case, CPA, CFP CRD: 139399 | - | 0 | 0 | - | Unknown |
| Richard Scott Asset Management, Inc. CRD: 14590 | - | 0 | 0 | A | INACTIVE |
| Richard T. Harrison & Co. CRD: 309913 | - | 0 | 0 | - | Unknown |
| Richard T. Wyatt & Company, Ltd. CRD: 11086 | - | 0 | 0 | A | INACTIVE |
| Richard Thomas & Company CRD: 14806 | - | 0 | 0 | A | INACTIVE |
| Richard V. Miles & Associates CRD: 5472 | - | 0 | 0 | A | INACTIVE |
| Richard Veerman CRD: 114047 | - | 0 | 1 | - | Unknown |
| Richard Voight Nuttall CRD: 107776 | - | 0 | 0 | - | Unknown |
| Richard W. Paul & Associates, LLC CRD: 156812 | - | 0 | 1 | - | Unknown |
| Richard Young Advisors CRD: 126124 | - | 0 | 2 | - | Unknown |
| Richards Financial CRD: 160351 | - | 0 | 2 | - | Unknown |
| Richards Financial Planning, LLC CRD: 306087 | - | 0 | 2 | - | Unknown |
| Richards Investments CRD: 3176 | - | 0 | 0 | A | INACTIVE |
| Richards Merrill Wealth Management CRD: 713 | WA | 6 | 3 | B | Active |
| Richards, LYNCH & Pegher, Inc. CRD: 8230 | - | 0 | 0 | A | INACTIVE |
| Richards, Merrill & Peterson, Inc. CRD: 117175 | - | 0 | 0 | - | Unknown |
| Richards, Paul Lawrence CRD: 37719 | - | 0 | 0 | A | INACTIVE |
| Richardson Barr Securities, Inc. CRD: 128406 | - | 0 | 0 | A | INACTIVE |
| Richardson Capital Limited CRD: 160693 | - | 0 | 0 | - | Unknown |
| Richardson Capital Management, LLC CRD: 130985 | - | 0 | 3 | - | Unknown |
| Richardson Capital, Inc. CRD: 15146 | - | 0 | 0 | A | INACTIVE |
| Richardson Financial Services CRD: 130715 | - | 0 | 3 | - | Unknown |
| Richardson Financial, Inc. CRD: 159249 | - | 0 | 1 | - | Unknown |
| Richardson GMP (USA) Corp. CRD: 104204 | - | 0 | 0 | A | INACTIVE |
| Richardson Greenshields Securities Inc. CRD: 3178 | - | 0 | 0 | A | INACTIVE |
| Richardson Lyle & Adler, Inc. CRD: 24674 | - | 0 | 0 | A | INACTIVE |
| Richardson Wealth (USA) Limited CRD: 166090 | - | 0 | 0 | - | Unknown |
| Richave Financial, Inc. CRD: 36782 | - | 3 | 0 | C | INACTIVE |
| Richbrook Advisors, LP CRD: 316848 | - | 0 | 1 | - | Unknown |
| Richco Securities, Inc. CRD: 10202 | - | 0 | 0 | A | INACTIVE |
| Richco Securities,Ltd. CRD: 13688 | - | 0 | 0 | A | INACTIVE |
| Richemont Advisors LLC CRD: 283517 | - | 0 | 0 | - | Unknown |
| Riches of Heaven Financials LLC CRD: 318160 | - | 0 | 0 | - | Unknown |
| Richey Financial Group, Inc. CRD: 17113 | - | 2 | 0 | B | INACTIVE |
| Richey, Frankel & Company CRD: 8548 | - | 0 | 0 | A | INACTIVE |
| Richfield Orion International, Inc. CRD: 24433 | - | 10 | 0 | D | INACTIVE |
| Richfield Securities, Inc. CRD: 16109 | - | 0 | 0 | A | INACTIVE |
| Richie CRD: 288835 | - | 0 | 0 | - | Unknown |
| Richie Capital Group CRD: 281407 | - | 0 | 2 | - | Unknown |
| Richland Capital Corp. CRD: 10214 | - | 0 | 0 | A | INACTIVE |
| Richlind Financial Services CRD: 122075 | - | 0 | 0 | - | Unknown |
| Richline Capital Management Inc. CRD: 337765 | - | 0 | 0 | - | Unknown |
| Richly CRD: 300324 | - | 0 | 0 | - | Unknown |
| Richman Bradley Incorporated CRD: 42383 | - | 0 | 0 | A | INACTIVE |
| Richman Financial Planning CRD: 295529 | - | 0 | 0 | - | Unknown |
| Richmark Capital Corporation CRD: 43162 | - | 8 | 0 | D | INACTIVE |
| Richmark Private Wealth Management CRD: 290854 | - | 0 | 1 | - | Unknown |
| Richmond Brothers, Inc. CRD: 158916 | - | 0 | 6 | - | Unknown |
| Richmond Capital CRD: 327060 | - | 0 | 1 | - | Unknown |