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 |
|---|---|---|---|---|---|
| Rocky Mountain Humane Investing LLC CRD: 113421 | - | 0 | 1 | - | Unknown |
| Rocky Mountain Planning Group, Inc CRD: 114507 | - | 0 | 0 | - | Unknown |
| Rocky Mountain Private Wealth Management, L.L.C. CRD: 127140 | - | 0 | 2 | - | Unknown |
| Rocky Mountain Securities & Investments, Inc. CRD: 8350 | - | 10 | 0 | D | INACTIVE |
| Rocky Mountain Wealth Architects CRD: 286054 | - | 0 | 0 | - | Unknown |
| ROD Capital Management, LLC CRD: 283497 | - | 0 | 1 | - | Unknown |
| Roda Investment Management, LLC CRD: 140999 | - | 0 | 1 | - | Unknown |
| Roddy,Buck Luce & Associates CRD: 25861 | - | 0 | 0 | A | INACTIVE |
| Rodecker & Company, Investment Brokers, Inc. CRD: 7283 | - | 2 | 0 | B | INACTIVE |
| Rodel Corriente (SY) LLC CRD: 154210 | - | 0 | 1 | - | Unknown |
| Roden Advisory Services, Inc. CRD: 286440 | - | 0 | 0 | - | Unknown |
| Rodeo Growth Partners GP, LLC CRD: 334201 | - | 0 | 1 | - | Unknown |
| Rodeo Investment Services Corporation CRD: 284771 | - | 0 | 0 | - | Unknown |
| Rodgers & Associates CRD: 121700 | - | 0 | 10 | - | Unknown |
| Rodgers Brothers, Inc. CRD: 16197 | - | 0 | 3 | A | INACTIVE |
| Rodgers Capital Corporation CRD: 23408 | - | 0 | 0 | A | INACTIVE |
| Rodgers Capital Management, LLC CRD: 168216 | - | 0 | 1 | - | Unknown |
| Rodin, Bruce Dale CRD: 33956 | - | 0 | 0 | A | INACTIVE |
| Rodino Wealth Management LLC CRD: 335891 | - | 0 | 1 | - | Unknown |
| Roditi & Roditi LLC CRD: 175122 | - | 0 | 0 | - | Unknown |
| Rodman & Renshaw Inc. CRD: 724 | - | 0 | 0 | A | INACTIVE |
| Rodman & Renshaw, LLC CRD: 16415 | - | 4 | 0 | C | INACTIVE |
| Rodman & Renshaw, LLC CRD: 281264 | NY | 0 | 3 | A | Active |
| Rodman Capital Management CRD: 105246 | - | 0 | 0 | - | Unknown |
| Rodney Casey, P.C. CRD: 115149 | - | 0 | 0 | - | Unknown |
| Rodney Square Distributors, Inc. CRD: 18847 | - | 0 | 0 | A | INACTIVE |
| Rodriguez Investment Advisory, Inc. CRD: 143370 | - | 0 | 0 | - | Unknown |
| ROE Equity Research LLC CRD: 127442 | - | 0 | 0 | - | Unknown |
| ROE Investment Management, LLC CRD: 335038 | - | 0 | 1 | - | Unknown |
| Roebuck Consulting CRD: 334713 | - | 0 | 0 | - | Unknown |
| Roebuck Funds Inc. CRD: 3206 | - | 1 | 0 | B | INACTIVE |
| Roedel Financial Corporation CRD: 15974 | - | 0 | 0 | A | INACTIVE |
| Roehl & YI Investment Advisors, LLC CRD: 109258 | - | 0 | 3 | - | Unknown |
| Roell Capital Partners, LP CRD: 285769 | - | 0 | 0 | - | Unknown |
| Roelofs Capital Group CRD: 317095 | - | 0 | 0 | - | Unknown |
| Roepe Rosenfeld Trading LLC CRD: 42793 | - | 1 | 0 | B | INACTIVE |
| Roffman Miller Associates Inc CRD: 106019 | - | 0 | 6 | - | Unknown |
| ROG IX, LLC CRD: 304142 | - | 0 | 1 | - | Unknown |
| ROG VI L.L.C. CRD: 285639 | - | 0 | 1 | - | Unknown |
| Rogan & Associates, Inc. CRD: 42762 | - | 2 | 1 | B | INACTIVE |
| Roger Budd Investment Management, LLC CRD: 298525 | - | 0 | 1 | - | Unknown |
| Roger F. Woodman JR. & Co. CRD: 119778 | - | 0 | 2 | - | Unknown |
| Roger J. Lange and Company, Inc. CRD: 17918 | - | 0 | 0 | A | INACTIVE |
| Roger Manske CRD: 123601 | - | 0 | 2 | - | Unknown |
| Roger R. Bell & Co., Inc. CRD: 133477 | - | 0 | 2 | - | Unknown |
| Roger W Geary Inc. CRD: 36805 | - | 0 | 0 | A | INACTIVE |
| Roger W. Franz CRD: 37816 | - | 0 | 0 | A | INACTIVE |
| Rogers & Lamb CRD: 7288 | - | 0 | 0 | A | INACTIVE |
| Rogers Capital Advisors, LLC CRD: 175500 | - | 0 | 1 | - | Unknown |
| Rogers Capital Group CRD: 26561 | - | 0 | 0 | A | INACTIVE |