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 |
|---|---|---|---|---|---|
| AUM Capital Inc CRD: 284913 | - | 0 | 0 | - | Unknown |
| AUM Capital, LLC CRD: 150905 | - | 0 | 0 | A | INACTIVE |
| AUM Financial Advisors LLC CRD: 287653 | - | 0 | 0 | - | Unknown |
| AUM Shiv Advisors, LLC CRD: 283962 | - | 0 | 0 | - | Unknown |
| Auour Investments LLC CRD: 173392 | - | 0 | 1 | - | Unknown |
| Aura Capital, LLC CRD: 339918 | - | 0 | 1 | - | Unknown |
| Aura Finance, Inc. CRD: 318940 | - | 0 | 0 | - | Unknown |
| Aura Financial Services, Inc. CRD: 42822 | - | 14 | 0 | D | INACTIVE |
| Aura Value International, LLC CRD: 169944 | - | 0 | 0 | - | Unknown |
| Aura Wealth Advisors LLC CRD: 114501 | - | 0 | 0 | - | Unknown |
| Auranser Inc. CRD: 340833 | - | 0 | 1 | - | Unknown |
| Aure Advisors LLC CRD: 337951 | - | 0 | 1 | - | Unknown |
| Aure Investments CRD: 330101 | - | 0 | 1 | - | Unknown |
| Aurea Investments LLC CRD: 336580 | - | 0 | 1 | - | Unknown |
| Aureana Capital Management, LLC CRD: 154124 | - | 0 | 1 | - | Unknown |
| Aurelia Capital Advisors, Inc. CRD: 334467 | - | 0 | 1 | - | Unknown |
| Aurelian Management, LLC CRD: 162092 | - | 0 | 0 | - | Unknown |
| Aurelien Capital Partners CRD: 311163 | - | 0 | 1 | - | Unknown |
| Aurelius Capital Management, LP CRD: 157325 | - | 0 | 1 | - | Unknown |
| Aurelius Family Office, LLC CRD: 323016 | - | 0 | 5 | - | Unknown |
| Aurelius Investment Advisory Inc. CRD: 329320 | - | 0 | 1 | - | Unknown |
| Aurelius Investment Advisory Limited CRD: 314916 | - | 0 | 0 | - | Unknown |
| Aurelius Ventures CRD: 329034 | - | 0 | 1 | - | Unknown |
| Aureon Management LLC CRD: 338348 | - | 0 | 1 | - | Unknown |
| Aureum Wealth Management, LLC CRD: 272027 | - | 0 | 1 | - | Unknown |
| Aureus Advisors Inc. CRD: 339854 | - | 0 | 1 | - | Unknown |
| Aureus Asset Management, LLC CRD: 136674 | - | 0 | 1 | - | Unknown |
| Aureus Capital CRD: 314387 | - | 0 | 2 | - | Unknown |
| Aureus Wealth Management LLC CRD: 168217 | - | 0 | 0 | - | Unknown |
| Aurevia Capital Inc. CRD: 340031 | - | 0 | 1 | - | Unknown |
| Auri CRD: 336818 | - | 0 | 1 | - | Unknown |
| Auria Services Corp. CRD: 27851 | - | 8 | 0 | D | INACTIVE |
| Auribeau LLC CRD: 264794 | - | 0 | 0 | - | Unknown |
| Auriex Wealth Advisors LLC CRD: 339954 | - | 0 | 1 | - | Unknown |
| Auriga USA, LLC CRD: 121731 | - | 1 | 0 | B | INACTIVE |
| Aurmedis Global Investors LP CRD: 284752 | - | 0 | 0 | - | Unknown |
| Aurochs Financial Group, LLC CRD: 114426 | - | 0 | 0 | - | Unknown |
| Aurora Archipelago Inc CRD: 340281 | - | 0 | 1 | - | Unknown |
| Aurora Asset Management, L.L.C. CRD: 144695 | - | 0 | 0 | - | Unknown |
| Aurora BAY Capital CRD: 300137 | - | 0 | 1 | - | Unknown |
| Aurora Capital Advisors, LLC CRD: 298435 | - | 0 | 0 | - | Unknown |
| Aurora Capital LLC CRD: 37924 | - | 6 | 0 | D | INACTIVE |
| Aurora Capital Management CRD: 134763 | - | 0 | 0 | - | Unknown |
| Aurora Capital Partners Management VI L.P. CRD: 304605 | - | 0 | 1 | - | Unknown |
| Aurora Capital Ventures LLC CRD: 333361 | - | 0 | 0 | - | Unknown |
| Aurora Financial Advisors, LLC CRD: 120985 | - | 0 | 0 | - | Unknown |
| Aurora Financial Group, LLC CRD: 134895 | - | 0 | 0 | - | Unknown |
| Aurora Financial Services CRD: 145956 | - | 0 | 0 | - | Unknown |
| Aurora Insurance and Securities, Inc. CRD: 37773 | - | 0 | 0 | A | INACTIVE |
| Aurora Investment Advisors, LLC CRD: 168799 | - | 0 | 0 | - | Unknown |