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 |
|---|---|---|---|---|---|
| Robust Labs, LLC CRD: 319400 | - | 0 | 0 | - | Unknown |
| Robustwealth, Inc. CRD: 269919 | - | 0 | 0 | - | Unknown |
| Robyns Capital Corp. CRD: 19980 | - | 0 | 0 | A | INACTIVE |
| ROC Capital Management LLC CRD: 299246 | - | 0 | 0 | - | Unknown |
| ROC Capital PTY Limited CRD: 298264 | - | 0 | 0 | - | Unknown |
| ROC Global LLC CRD: 154058 | NY | 0 | 2 | A | Active |
| ROC Investments, LLC CRD: 317275 | - | 0 | 0 | - | Unknown |
| ROC Management (Cayman) Limited CRD: 177522 | - | 0 | 0 | - | Unknown |
| ROC Partners (HK) Limited CRD: 298250 | - | 0 | 0 | - | Unknown |
| ROC Partners (US) LLC CRD: 333044 | - | 0 | 0 | - | Unknown |
| ROC360 Advisors LLC CRD: 326954 | - | 0 | 1 | - | Unknown |
| Roca Investment Management LLC CRD: 328476 | - | 0 | 0 | - | Unknown |
| Rocana Cayman LLC CRD: 331197 | - | 0 | 1 | - | Unknown |
| Rocana-Semillero Advisors PR LLC CRD: 331188 | - | 0 | 1 | - | Unknown |
| Rocana-Semillero Advisors US LLC CRD: 331227 | - | 0 | 1 | - | Unknown |
| Rocaton Investment Advisors CRD: 120451 | - | 0 | 0 | - | Unknown |
| Roccanti Capital Consulting, LLC CRD: 310112 | - | 0 | 0 | - | Unknown |
| Rocco R. Santomenno CRD: 107832 | - | 0 | 1 | - | Unknown |
| Rochdale Mortgage-Backed Securities Corporation CRD: 28278 | - | 0 | 0 | A | INACTIVE |
| Rochdale Securities LLC CRD: 6863 | - | 8 | 0 | D | INACTIVE |
| Roche Asset Management, LLC CRD: 170528 | - | 0 | 3 | - | Unknown |
| Roche Financial Partners LLC CRD: 133604 | - | 0 | 2 | - | Unknown |
| Rochelle Securities Corporation CRD: 11802 | - | 0 | 0 | A | INACTIVE |
| Rochester Financial Services CRD: 107956 | - | 0 | 2 | - | Unknown |
| Rochester Fund Distributors CRD: 12972 | - | 0 | 0 | A | INACTIVE |
| Rochester Investments CRD: 306782 | - | 0 | 2 | - | Unknown |
| Rochester Wealth Strategies, LLC CRD: 299150 | - | 0 | 2 | - | Unknown |
| Rochon Capital Group, Ltd. CRD: 40907 | - | 0 | 0 | A | INACTIVE |
| Rock Canyon Capital Management CRD: 285070 | - | 0 | 2 | - | Unknown |
| Rock Capital Partners, LLC CRD: 119547 | - | 1 | 0 | B | INACTIVE |
| Rock Castle Capital Management CRD: 121387 | - | 0 | 0 | - | Unknown |
| Rock Creek Advisors LLC CRD: 291281 | - | 0 | 1 | - | Unknown |
| Rock Creek Group LLC CRD: 125409 | - | 0 | 1 | - | Unknown |
| Rock Creek Investment Advisors, LLC CRD: 298659 | - | 0 | 0 | - | Unknown |
| Rock Creek Wealth Management CRD: 336666 | - | 0 | 1 | - | Unknown |
| Rock Creek Wealth Planners and Advisors LLC CRD: 298104 | - | 0 | 0 | - | Unknown |
| Rock DEN Advisors, LLC CRD: 312334 | - | 0 | 0 | - | Unknown |
| Rock ELM Capital Management LLC CRD: 287783 | - | 0 | 1 | - | Unknown |
| Rock Exploration Company CRD: 14283 | - | 0 | 0 | A | INACTIVE |
| Rock Financial Planning CRD: 304615 | - | 0 | 1 | - | Unknown |
| Rock Financial Planning, LLC CRD: 341677 | - | 0 | 1 | - | Unknown |
| Rock Harbor Capital LLC CRD: 327728 | - | 0 | 1 | - | Unknown |
| Rock Harbor Partners LLC CRD: 322545 | - | 0 | 1 | - | Unknown |
| Rock Health Capital CRD: 322958 | - | 0 | 1 | - | Unknown |
| Rock Health, Inc. CRD: 174847 | - | 0 | 0 | - | Unknown |
| Rock Hill Capital CRD: 163129 | - | 0 | 1 | - | Unknown |
| Rock House Financial CRD: 293909 | - | 0 | 0 | - | Unknown |
| Rock Island Capital CRD: 161623 | - | 0 | 1 | - | Unknown |
| Rock Island Equity Market Services, Inc CRD: 31648 | - | 3 | 0 | C | INACTIVE |
| Rock Island Europe GMBH CRD: 114464 | - | 0 | 0 | A | INACTIVE |