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 |
|---|---|---|---|---|---|
| Robert S. Sinn Securities, Inc. CRD: 7307 | - | 0 | 0 | A | INACTIVE |
| Robert Schallig CRD: 135123 | - | 0 | 0 | - | Unknown |
| Robert Schmitz and Company CRD: 16408 | - | 0 | 0 | A | INACTIVE |
| Robert Scott Securities, Inc. CRD: 28180 | - | 0 | 0 | A | INACTIVE |
| Robert Spatz Securities,Inc. CRD: 14304 | - | 0 | 0 | A | INACTIVE |
| Robert Steffen & Associates CRD: 115256 | - | 0 | 0 | - | Unknown |
| Robert Stephen Capital Management LLC CRD: 118588 | - | 0 | 3 | - | Unknown |
| Robert Susko CPA LLC CRD: 140287 | - | 0 | 0 | - | Unknown |
| Robert T. Moseman, Inc. CRD: 119304 | - | 0 | 0 | A | INACTIVE |
| Robert Thomas CPA, LLC CRD: 304738 | - | 0 | 0 | - | Unknown |
| Robert Thomas Securities, Inc CRD: 10147 | - | 0 | 0 | A | INACTIVE |
| Robert Todd Financial Corp. CRD: 7423 | - | 0 | 0 | A | INACTIVE |
| Robert VAN Securities, Inc. CRD: 29581 | - | 3 | 0 | C | INACTIVE |
| Robert W. Baird & Co. Incorporated CRD: 8158 | WI | 75 | 1,129 | B | Active |
| Robert W. Colby Asset Management, Inc. CRD: 150498 | - | 0 | 1 | - | Unknown |
| Robert W. Pulley Securities Corporation CRD: 11804 | - | 0 | 0 | A | INACTIVE |
| Robert Weston & Co CRD: 129007 | - | 0 | 0 | - | Unknown |
| Robert Weston & Co., Inc. CRD: 10179 | - | 0 | 0 | A | INACTIVE |
| Robert William GAY CRD: 168880 | - | 0 | 0 | - | Unknown |
| Robert William Shoemaker,III CRD: 128852 | - | 0 | 2 | - | Unknown |
| Robert Wilson & Company Inc. CRD: 128834 | - | 0 | 0 | - | Unknown |
| Roberta LEE-Driscoll CRD: 117263 | - | 0 | 1 | - | Unknown |
| Roberto Wealth Management LLC CRD: 288474 | - | 0 | 0 | - | Unknown |
| Roberts & Roberts CRD: 6856 | - | 0 | 0 | A | INACTIVE |
| Roberts & Ryan, Inc. CRD: 19456 | NY | 1 | 6 | B | Active |
| Roberts Capital Advisors, LLC CRD: 226548 | - | 0 | 0 | - | Unknown |
| Roberts Capital LLC CRD: 174892 | - | 0 | 0 | - | Unknown |
| Roberts Financial Planning CRD: 140749 | - | 0 | 0 | - | Unknown |
| Roberts Investments Inc. CRD: 10097 | - | 0 | 0 | A | INACTIVE |
| Roberts Mitani, LLC CRD: 30022 | - | 1 | 0 | B | INACTIVE |
| Roberts Reserve Inc. CRD: 14669 | - | 0 | 0 | A | INACTIVE |
| Roberts Securities International Inc. CRD: 36714 | - | 0 | 0 | A | INACTIVE |
| Roberts Wealth Advisors, LLC CRD: 308827 | - | 0 | 3 | - | Unknown |
| Roberts, Glore & Co. CRD: 109792 | - | 0 | 1 | - | Unknown |
| Robertson Advisory, Inc. CRD: 131285 | - | 0 | 1 | - | Unknown |
| Robertson Capital Management CRD: 128083 | - | 0 | 0 | - | Unknown |
| Robertson Huebsch CRD: 19077 | - | 0 | 0 | A | INACTIVE |
| Robertson Investment Advisory, LLC CRD: 164337 | - | 0 | 0 | - | Unknown |
| Robertson Investment Management CRD: 115425 | - | 0 | 5 | - | Unknown |
| Robertson Opportunity Capital, LLC CRD: 118484 | - | 0 | 2 | - | Unknown |
| Robertson Securities CRD: 15660 | - | 0 | 0 | A | INACTIVE |
| Robertson Stephens CRD: 289977 | - | 0 | 66 | - | Unknown |
| Robertson Stephens Advisors CRD: 166736 | - | 0 | 0 | - | Unknown |
| Robertson Stephens Asset Management CRD: 285089 | - | 0 | 0 | - | Unknown |
| Robertson Stephens Capital Markets, LLC CRD: 290635 | CA | 0 | 9 | A | Active |
| Robertson Stephens Securities CRD: 167704 | - | 0 | 0 | A | INACTIVE |
| Robertson Stephens, Inc. CRD: 41271 | - | 22 | 0 | F | INACTIVE |
| Robertson, Dylan CRD: 332286 | - | 0 | 2 | - | Unknown |
| Robertson, Stephens & Company LLC CRD: 7730 | - | 0 | 0 | A | INACTIVE |
| Robin Capital Group LLC CRD: 312956 | - | 0 | 1 | - | Unknown |