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 |
|---|---|---|---|---|---|
| Rockhouse Capital, LLC CRD: 152806 | - | 0 | 2 | - | Unknown |
| Rockhouse Securities LLC CRD: 104477 | - | 0 | 0 | A | INACTIVE |
| Rockies Venture Adviser, LLC CRD: 284956 | - | 0 | 0 | - | Unknown |
| Rockingham Capital Advisors LLC CRD: 283583 | - | 0 | 1 | - | Unknown |
| Rockingstone Advisors CRD: 149592 | - | 0 | 2 | - | Unknown |
| Rockland Capital, LP CRD: 156791 | - | 0 | 1 | - | Unknown |
| Rockland Securities, LLC CRD: 127855 | FL | 0 | 2 | A | Active |
| Rockledge Partners, LLC CRD: 128171 | - | 0 | 1 | - | Unknown |
| Rockline Wealth Management LLC CRD: 324004 | - | 0 | 1 | - | Unknown |
| Rockman Made Wealth Management CRD: 341066 | - | 0 | 1 | - | Unknown |
| Rockpoint CRD: 156630 | - | 0 | 1 | - | Unknown |
| Rockpointe Financial CRD: 120365 | - | 0 | 0 | - | Unknown |
| Rockport Capital Partners CRD: 159806 | - | 0 | 1 | - | Unknown |
| Rockport Partners LLC CRD: 47299 | - | 0 | 0 | A | INACTIVE |
| Rockport Venture Securities, LLC CRD: 113748 | - | 0 | 0 | A | INACTIVE |
| Rockport Wealth Advisors CRD: 297122 | - | 0 | 5 | - | Unknown |
| Rockridge Money Management LLC CRD: 154778 | - | 0 | 1 | - | Unknown |
| Rockridge Trading, LLC CRD: 114189 | - | 0 | 0 | A | INACTIVE |
| Rockrose Capital Management, LLC CRD: 141405 | - | 0 | 2 | - | Unknown |
| Rockrose Management, LLC CRD: 316282 | - | 0 | 0 | - | Unknown |
| Rockshelter Capital Management LLC CRD: 169562 | - | 0 | 0 | - | Unknown |
| Rockside Investments LLC CRD: 310511 | - | 0 | 1 | - | Unknown |
| Rocksolid Capital, LLC CRD: 104160 | - | 0 | 0 | A | INACTIVE |
| Rockstart Management Company, LLC CRD: 329750 | - | 0 | 0 | - | Unknown |
| Rockstreet Partners LLC CRD: 283548 | - | 0 | 1 | - | Unknown |
| Rocktop GP, LLC CRD: 175276 | - | 0 | 0 | - | Unknown |
| Rocktop Partners, LLC CRD: 283846 | - | 0 | 0 | - | Unknown |
| Rocktree Financial Advisors LLC CRD: 164926 | - | 0 | 0 | - | Unknown |
| Rockview Management, LLC CRD: 161392 | - | 0 | 0 | - | Unknown |
| Rockville Securities, Inc. CRD: 15740 | - | 0 | 0 | A | INACTIVE |
| Rockwall Wealth Advisors CRD: 310735 | - | 0 | 1 | - | Unknown |
| Rockwall Wealth Management CRD: 339856 | - | 0 | 1 | - | Unknown |
| Rockway Asset Management, LLC CRD: 312768 | - | 0 | 0 | - | Unknown |
| Rockway Wealth Partners CRD: 297724 | - | 0 | 0 | - | Unknown |
| Rockway Wealth Partners CRD: 315419 | - | 0 | 2 | - | Unknown |
| Rockwealth Financial LLC CRD: 329798 | - | 0 | 1 | - | Unknown |
| Rockwell Capital Management LLC CRD: 294605 | - | 0 | 0 | - | Unknown |
| Rockwell Financial, Inc. CRD: 16350 | - | 0 | 0 | A | INACTIVE |
| Rockwell Global Capital LLC CRD: 142485 | - | 8 | 0 | C | INACTIVE |
| Rockwell Securities Corporation CRD: 30573 | - | 0 | 0 | A | INACTIVE |
| Rockwell Securities LLC CRD: 142483 | - | 0 | 0 | A | INACTIVE |
| Rockwood Capital Advisors LLC CRD: 108644 | - | 0 | 0 | - | Unknown |
| Rockwood Capital, LLC CRD: 156663 | - | 0 | 1 | - | Unknown |
| Rockwood Equity Partners LLC CRD: 163846 | - | 0 | 1 | - | Unknown |
| Rockwood Investment Counsel CRD: 283388 | - | 0 | 0 | - | Unknown |
| Rockwood Wealth Management, LLC CRD: 137481 | - | 0 | 1 | - | Unknown |
| Rockworth Investment Services LLC CRD: 154115 | - | 0 | 1 | - | Unknown |
| Rocky Hill Advisors Inc. CRD: 123242 | - | 0 | 3 | - | Unknown |
| Rocky Mountain Advisers, LLC CRD: 148479 | - | 0 | 4 | - | Unknown |
| Rocky Mountain Financial Solutions Inc. CRD: 311584 | - | 0 | 1 | - | Unknown |