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 |
|---|---|---|---|---|---|
| RLB Financial CRD: 151778 | - | 0 | 3 | - | Unknown |
| Rlbrown Financial, Inc. CRD: 158315 | - | 0 | 0 | - | Unknown |
| RLC Business Services, Inc. CRD: 108653 | - | 0 | 0 | - | Unknown |
| RLC Capital Management CRD: 152801 | - | 0 | 1 | - | Unknown |
| RLC Investment Securities, Inc. CRD: 13664 | - | 0 | 0 | A | INACTIVE |
| RLH Capital, LLC CRD: 321913 | - | 0 | 0 | - | Unknown |
| RLH Equity Partners CRD: 157138 | - | 0 | 1 | - | Unknown |
| RLJ Capital Markets, LLC CRD: 281119 | - | 0 | 0 | A | INACTIVE |
| RLJ Equity Partners, LLC CRD: 162006 | - | 0 | 1 | - | Unknown |
| RLM Financial Advisory Services, Inc. CRD: 121928 | - | 0 | 0 | - | Unknown |
| RLMS Business Consultants CRD: 130602 | - | 0 | 1 | - | Unknown |
| RLN Wealth CRD: 329060 | - | 0 | 1 | - | Unknown |
| RLP Financial MGT CRD: 132279 | - | 0 | 0 | - | Unknown |
| RLP Wealth Advisors, LLC CRD: 289841 | - | 0 | 0 | - | Unknown |
| RLR Capital Management, Inc. CRD: 127815 | - | 0 | 2 | - | Unknown |
| RLR Financial Group, Inc. CRD: 12995 | - | 0 | 0 | A | INACTIVE |
| RLR Securities Group, Inc. CRD: 7952 | - | 0 | 0 | A | INACTIVE |
| RLS Financial Group, Inc. CRD: 125914 | - | 0 | 2 | - | Unknown |
| RLS Financial Services CRD: 305158 | - | 0 | 1 | - | Unknown |
| RLS Private Wealth Consulting, Inc. CRD: 312496 | - | 0 | 2 | - | Unknown |
| RLS Wealth Advisors CRD: 288983 | - | 0 | 0 | - | Unknown |
| RLSP Associates, LLC CRD: 47220 | - | 0 | 0 | A | INACTIVE |
| RLT Capital LLC CRD: 327959 | - | 0 | 1 | - | Unknown |
| RLT Capital, LLC CRD: 288736 | - | 0 | 2 | - | Unknown |
| RM Adviser, LLC CRD: 283877 | - | 0 | 1 | - | Unknown |
| RM Capital Holdings CRD: 293646 | - | 0 | 0 | - | Unknown |
| RM Financial Services, LLC CRD: 304297 | - | 0 | 2 | - | Unknown |
| RM Investment Advisory Services, LLC CRD: 122619 | - | 0 | 0 | - | Unknown |
| RM Investment Management Inc CRD: 106575 | - | 0 | 0 | - | Unknown |
| RM Investment Strategies, LLC CRD: 322828 | - | 0 | 1 | - | Unknown |
| RM Manager, LLC CRD: 186512 | - | 0 | 1 | - | Unknown |
| RM Private Wealth Management CRD: 300082 | - | 0 | 1 | - | Unknown |
| RM Securities, LLC CRD: 323671 | - | 0 | 0 | A | INACTIVE |
| RM Sincerbeaux Capital Management, LLC. CRD: 145159 | - | 0 | 1 | - | Unknown |
| RM Wealth Management, L.L.C. CRD: 139955 | - | 0 | 0 | - | Unknown |
| RMA Capital Management, LLC CRD: 314811 | - | 0 | 2 | - | Unknown |
| Rmas, Inc. CRD: 118242 | - | 0 | 3 | - | Unknown |
| RMB Securities (USA) Inc. CRD: 314958 | NY | 0 | 2 | A | Active |
| RMB West, LLC CRD: 158138 | - | 0 | 0 | - | Unknown |
| RMBS Management LLC CRD: 158914 | - | 0 | 0 | - | Unknown |
| RMC Capital Markets Group, Inc CRD: 139643 | - | 0 | 0 | A | INACTIVE |
| RMC Financial Advisors, LLC CRD: 144821 | - | 0 | 2 | - | Unknown |
| RMC Financial Services, Inc. CRD: 37741 | - | 0 | 0 | A | INACTIVE |
| RMC Investment Advisors CRD: 104674 | - | 0 | 1 | - | Unknown |
| RMC Securities, Inc. CRD: 16638 | - | 0 | 0 | A | INACTIVE |
| RMD Advisory Services, LLC CRD: 129672 | - | 0 | 0 | - | Unknown |
| RMDR Advisors, Inc. CRD: 118473 | - | 0 | 3 | - | Unknown |
| RMG Advisors CRD: 122366 | - | 0 | 1 | - | Unknown |
| RMG Advisory Services CRD: 155124 | - | 0 | 1 | - | Unknown |
| RMG Capital Advisors LLC CRD: 107894 | - | 0 | 0 | - | Unknown |