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 |
|---|---|---|---|---|---|
| Roan Capital Partners L.P. CRD: 33063 | - | 6 | 0 | C | INACTIVE |
| Roan HFH, LP CRD: 336443 | - | 0 | 1 | - | Unknown |
| Roan Mountain Financial CRD: 322353 | - | 0 | 0 | - | Unknown |
| Roanoke Asset Management Corp CRD: 107063 | - | 0 | 0 | - | Unknown |
| Roanoke Securities, Ltd. CRD: 15198 | - | 0 | 0 | A | INACTIVE |
| Roaring Blue Lion Capital Management, L.P. CRD: 137355 | - | 0 | 0 | - | Unknown |
| Roaring Brook Holdings LLC CRD: 333337 | - | 0 | 1 | - | Unknown |
| Roark Capital Management, LLC CRD: 160368 | - | 0 | 1 | - | Unknown |
| Roark Ridge Advisory CRD: 338096 | - | 0 | 1 | - | Unknown |
| Robare & Jones Wealth Management CRD: 116597 | - | 0 | 0 | - | Unknown |
| Robb & Robb, Incorporated CRD: 7433 | - | 0 | 0 | A | INACTIVE |
| Robb Peck Mccooey Specialist Corporation CRD: 32660 | - | 1 | 0 | B | INACTIVE |
| Robb Securities, Inc. CRD: 20477 | - | 0 | 0 | A | INACTIVE |
| Robbins Capital Management Inc. CRD: 134137 | - | 0 | 0 | - | Unknown |
| Robbins Farley LLC CRD: 286581 | - | 0 | 1 | - | Unknown |
| Robbins Planning Company CRD: 140901 | - | 0 | 0 | - | Unknown |
| Robbins Wealth Management CRD: 106088 | - | 0 | 7 | - | Unknown |
| Robbins Wealth Management, LLC CRD: 153137 | - | 0 | 1 | - | Unknown |
| Robeco Institutional Asset Management US Inc CRD: 107367 | - | 0 | 1 | - | Unknown |
| Robecosam USA, Inc. CRD: 113441 | - | 0 | 0 | - | Unknown |
| Robern Associates Limited CRD: 318397 | - | 0 | 0 | - | Unknown |
| Robert a. Jones CRD: 164460 | - | 0 | 1 | - | Unknown |
| Robert a Boyce LLC CRD: 174687 | - | 0 | 1 | - | Unknown |
| Robert a. Almony, JR. LLC CRD: 159834 | - | 0 | 2 | - | Unknown |
| Robert a. Sandler, LLC CRD: 289375 | - | 0 | 1 | - | Unknown |
| Robert a. Stanger & Company, Inc. CRD: 11807 | NJ | 0 | 2 | A | Active |
| Robert a. Underhill P.C. CRD: 122686 | - | 0 | 2 | - | Unknown |
| Robert a. Weinstein CRD: 127384 | - | 0 | 0 | - | Unknown |
| Robert a. Zock & Co.,Inc. CRD: 110480 | - | 0 | 3 | - | Unknown |
| Robert Ainbinder & Company CRD: 18750 | - | 0 | 0 | A | INACTIVE |
| Robert Alan Yager CRD: 110805 | - | 0 | 0 | - | Unknown |
| Robert Andrew Securities, Inc. CRD: 44566 | - | 0 | 0 | A | INACTIVE |
| Robert Benjamin & Associates,Inc. CRD: 14551 | - | 0 | 0 | A | INACTIVE |
| Robert Bergstrom CRD: 116282 | - | 0 | 2 | - | Unknown |
| Robert Bishop Financial Planning & Services CRD: 142192 | - | 0 | 1 | - | Unknown |
| Robert Blum Municipals, Inc. CRD: 38559 | CA | 0 | 2 | A | Active |
| Robert Brandt & Co. CRD: 5484 | - | 1 | 0 | B | INACTIVE |
| Robert C Armanino CRD: 130303 | - | 0 | 0 | - | Unknown |
| Robert C. Carr & Co., Inc. CRD: 5494 | - | 0 | 0 | A | INACTIVE |
| Robert C. Dean Investment Company CRD: 7419 | - | 0 | 0 | A | INACTIVE |
| Robert C. Mcgibben, Inc. CRD: 31987 | - | 0 | 0 | A | INACTIVE |
| Robert C. Sheehan & Associates, LLC CRD: 34305 | - | 0 | 0 | A | INACTIVE |
| Robert C. Wilson & Co. CRD: 5889 | - | 0 | 0 | A | INACTIVE |
| Robert Charles Capital Management CRD: 283124 | - | 0 | 3 | - | Unknown |
| Robert Cutright Associates, Inc. CRD: 28859 | - | 0 | 0 | A | INACTIVE |
| Robert D. Brown Investment Counsel Inc CRD: 104916 | - | 0 | 0 | - | Unknown |
| Robert Davis & Co. CRD: 21222 | - | 0 | 0 | A | INACTIVE |
| Robert Dean Equities Inc. CRD: 18245 | - | 0 | 0 | A | INACTIVE |
| Robert Dolf Tollen CRD: 114228 | - | 0 | 0 | - | Unknown |
| Robert E. Baker & Co. CRD: 1150 | - | 0 | 0 | A | INACTIVE |