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 |
|---|---|---|---|---|---|
| Audax Private Equity CRD: 160483 | - | 0 | 1 | - | Unknown |
| Audax Wealth Management CRD: 297973 | - | 0 | 0 | - | Unknown |
| Audax Wealth Management, LLC CRD: 310304 | - | 0 | 0 | - | Unknown |
| Audent Global Asset Management, LLC CRD: 308166 | - | 0 | 1 | - | Unknown |
| Audentix Capital LP CRD: 312565 | - | 0 | 0 | - | Unknown |
| Audeo Advisors LLC CRD: 339549 | - | 0 | 0 | - | Unknown |
| Audible Wealth Management CRD: 325559 | - | 0 | 1 | - | Unknown |
| Audobon Securities, Inc. CRD: 25156 | - | 0 | 0 | A | INACTIVE |
| Audobon Securities, Inc. CRD: 36938 | - | 0 | 0 | A | INACTIVE |
| Audubon Asset Management, Inc. CRD: 29761 | - | 0 | 0 | A | INACTIVE |
| Auerbach Grayson & Company LLC CRD: 30761 | NY | 0 | 2 | A | Active |
| Auerbach, Pollak & Richardson Inc. CRD: 29824 | - | 11 | 0 | D | INACTIVE |
| Aufman Associates Inc CRD: 104622 | - | 0 | 4 | - | Unknown |
| Augc Partners LLC CRD: 289424 | - | 0 | 1 | - | Unknown |
| Augend Technologies, LLC CRD: 120255 | - | 0 | 0 | A | INACTIVE |
| Augeo Advisors, LLC CRD: 154881 | - | 0 | 0 | A | INACTIVE |
| Augment Advisors, LLC CRD: 335130 | - | 0 | 1 | - | Unknown |
| Augment Capital, LLC CRD: 322519 | TX | 0 | 3 | A | Active |
| Augment Infrastructure Managers Advisory LLC CRD: 315485 | - | 0 | 1 | - | Unknown |
| Augment Securities Inc. CRD: 28373 | - | 6 | 0 | C | INACTIVE |
| Augment Ventures CRD: 329526 | - | 0 | 0 | - | Unknown |
| Augulis Financial Firm, L.L.C. CRD: 173616 | - | 0 | 3 | - | Unknown |
| Augur Capital Advisors S.A. CRD: 161633 | - | 0 | 0 | - | Unknown |
| Augur Investments, LLC CRD: 104345 | - | 0 | 0 | A | INACTIVE |
| Augurey Capital Advisors, LLC CRD: 324933 | - | 0 | 1 | - | Unknown |
| August Equity LLP CRD: 163018 | - | 0 | 0 | - | Unknown |
| August Financial Advisory CRD: 289414 | - | 0 | 0 | - | Unknown |
| August Group CRD: 311499 | - | 0 | 0 | - | Unknown |
| August Marketing Corporation CRD: 10420 | - | 0 | 0 | A | INACTIVE |
| August Partners Investment Management, LLC CRD: 291741 | - | 0 | 0 | - | Unknown |
| August Wealth Advisors LLC CRD: 339322 | - | 0 | 2 | - | Unknown |
| August Wealth Group, Inc. CRD: 149542 | - | 0 | 2 | - | Unknown |
| August Wealth Management CRD: 155739 | - | 0 | 1 | - | Unknown |
| Augusta Capital LLC CRD: 312783 | - | 0 | 1 | - | Unknown |
| Augusta Securities, Inc. CRD: 19063 | - | 0 | 0 | A | INACTIVE |
| Augustan Capital Management LLC CRD: 167458 | - | 0 | 0 | - | Unknown |
| Augustar Distributors, Inc. CRD: 41081 | OH | 0 | 2 | A | Active |
| Augustine Asset Management Inc CRD: 105801 | - | 0 | 3 | - | Unknown |
| Augustus Trading LLC CRD: 122803 | - | 0 | 0 | A | INACTIVE |
| Augustus Wealth, LLC CRD: 317189 | - | 0 | 1 | - | Unknown |
| Augustyn, Lawrence Edward CRD: 36429 | - | 0 | 0 | A | INACTIVE |
| AUK Capital, LLC CRD: 167784 | - | 0 | 0 | - | Unknown |
| AUL Financial Group, LLC CRD: 315199 | - | 0 | 0 | - | Unknown |
| Auldbrass Partners, LP CRD: 161360 | - | 0 | 1 | - | Unknown |
| Aulestia Wealth Management, Inc. CRD: 300531 | - | 0 | 1 | - | Unknown |
| Aulis Capital GP I, LP CRD: 341185 | - | 0 | 0 | - | Unknown |
| Aulis Capital US Advisor, LLC CRD: 341217 | - | 0 | 1 | - | Unknown |
| Aull & Monroe CRD: 104830 | - | 0 | 3 | - | Unknown |
| Aulon Advisors, LLC CRD: 170276 | - | 0 | 0 | - | Unknown |
| Ault Capital Management CRD: 317285 | - | 0 | 0 | - | Unknown |