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 |
|---|---|---|---|---|---|
| Rock Island Funds, LLC CRD: 166570 | - | 0 | 0 | - | Unknown |
| Rock Island Securities, Inc. CRD: 30782 | - | 3 | 0 | C | INACTIVE |
| Rock Mill Capital LLC CRD: 304456 | - | 0 | 0 | - | Unknown |
| Rock ONE Advisors, LLC CRD: 167431 | - | 0 | 2 | - | Unknown |
| Rock Point Advisors, LLC CRD: 130825 | - | 0 | 2 | - | Unknown |
| Rock Ridge Asset Management LLC CRD: 308167 | - | 0 | 0 | - | Unknown |
| Rock Ridge Wealth LLC CRD: 313914 | - | 0 | 1 | - | Unknown |
| Rock River Capital Partners, LLC CRD: 306103 | - | 0 | 1 | - | Unknown |
| Rock Solid Consultants LLC CRD: 329817 | - | 0 | 1 | - | Unknown |
| Rock Solid Wealth Strategies, L.L.C. CRD: 168649 | - | 0 | 0 | - | Unknown |
| Rock Springs Capital CRD: 168648 | - | 0 | 1 | - | Unknown |
| Rock Star Financial CRD: 314591 | - | 0 | 0 | - | Unknown |
| Rock Steady Wealth, Inc. CRD: 226639 | - | 0 | 1 | - | Unknown |
| Rockbound Capital LLC CRD: 337512 | - | 0 | 1 | - | Unknown |
| Rockbound Wealth Management CRD: 292616 | - | 0 | 1 | - | Unknown |
| Rockbridge Asset Management, LLC CRD: 329880 | - | 0 | 1 | - | Unknown |
| Rockbridge Capital, LLC CRD: 161078 | - | 0 | 1 | - | Unknown |
| Rockbridge Growth Equity Management, L.P. CRD: 299650 | - | 0 | 1 | - | Unknown |
| Rockbridge Investment Management, LLC CRD: 115754 | - | 0 | 1 | - | Unknown |
| Rockbridge Securities, Inc. CRD: 47072 | - | 1 | 0 | B | INACTIVE |
| Rockcliff Capital, LLC CRD: 168708 | - | 0 | 1 | - | Unknown |
| Rockcrest Financial LLC CRD: 282360 | - | 0 | 3 | - | Unknown |
| Rockcrest Securities L.L.C. CRD: 41089 | - | 3 | 0 | C | INACTIVE |
| Rockdale Financial Services, Inc. CRD: 128829 | - | 0 | 7 | - | Unknown |
| Rockdale Securities, LLC CRD: 169798 | UT | 0 | 2 | A | Active |
| Rocke Financial Planning Company CRD: 3201 | - | 0 | 0 | A | INACTIVE |
| Rockefeller & Co., Inc. CRD: 106264 | - | 0 | 0 | - | Unknown |
| Rockefeller Capital Management CRD: 294197 | - | 0 | 342 | - | Unknown |
| Rockefeller Financial LLC CRD: 291361 | NY | 1 | 189 | B | Active |
| Rockefeller Foundation Impact Investment Managemen… CRD: 304102 | - | 0 | 1 | - | Unknown |
| Rockefeller Group Investment Management Corp. CRD: 162407 | - | 0 | 0 | - | Unknown |
| Rockelis Partners CRD: 306539 | - | 0 | 0 | - | Unknown |
| Rocket Capital Management, L.L.C. CRD: 128077 | - | 0 | 2 | - | Unknown |
| Rocket Dollar Advisor, Inc. CRD: 170520 | - | 0 | 0 | - | Unknown |
| Rocket Dollar Capital, LLC CRD: 314075 | TX | 0 | 2 | A | Active |
| Rocket Propulsion Labs Management CRD: 311446 | - | 0 | 0 | - | Unknown |
| Rocket Street Ventures CRD: 311017 | - | 0 | 1 | - | Unknown |
| ROCKETSHIP.VC, LLC CRD: 301994 | - | 0 | 1 | - | Unknown |
| Rockfence Investment Management LLC CRD: 305981 | - | 0 | 1 | - | Unknown |
| Rockfleet Financial Services, Inc CRD: 149325 | FL | 1 | 4 | B | Active |
| Rockford Asset Management LLC CRD: 123566 | - | 0 | 1 | - | Unknown |
| Rockford Financial Planning CRD: 312048 | - | 0 | 1 | - | Unknown |
| Rockford Group Investment Advisor CRD: 317946 | - | 0 | 1 | - | Unknown |
| Rockford Partners CRD: 339746 | - | 0 | 1 | - | Unknown |
| Rockford Tower Asset Management, L.L.C. CRD: 342499 | - | 0 | 1 | - | Unknown |
| Rockhampton Management CRD: 164505 | - | 0 | 0 | - | Unknown |
| Rockhampton Management Limited CRD: 318923 | - | 0 | 0 | - | Unknown |
| Rockhaven Capital Management, LLC CRD: 151989 | - | 0 | 0 | - | Unknown |
| Rockhaven Wealth Management CRD: 285017 | - | 0 | 0 | - | Unknown |
| Rockhill Advisors LLC CRD: 288789 | - | 0 | 1 | - | Unknown |