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 |
|---|---|---|---|---|---|
| Rogers Consulting Associates, Inc. CRD: 169931 | - | 0 | 1 | - | Unknown |
| Rogers Financial Advisory Group, LLC CRD: 130223 | - | 0 | 3 | - | Unknown |
| Rogers Financial Inc. CRD: 328616 | - | 0 | 0 | - | Unknown |
| Rogers Investment Advisors K.K. CRD: 162896 | - | 0 | 0 | - | Unknown |
| Rogers Investment Advisors, LLC CRD: 132722 | - | 0 | 2 | - | Unknown |
| Rogers Quimby & Associates CRD: 110034 | - | 0 | 0 | - | Unknown |
| Rogers Securities, Inc. CRD: 24585 | - | 0 | 0 | A | INACTIVE |
| Rogers TAX Advisory Group LLC CRD: 284926 | - | 0 | 0 | - | Unknown |
| Rogers Trading LLC CRD: 113745 | - | 0 | 0 | A | INACTIVE |
| Rogers Wealth Group, Inc. CRD: 107409 | - | 0 | 4 | - | Unknown |
| Rogge Alternative Investment Company Limited CRD: 277034 | - | 0 | 0 | - | Unknown |
| Rogge Global Partners CRD: 105819 | - | 0 | 0 | - | Unknown |
| Rogge Global Partners CRD: 146426 | - | 0 | 0 | - | Unknown |
| Rogow, Sharon CRD: 122490 | - | 0 | 0 | - | Unknown |
| Rogowski Wealth Management LLC CRD: 165612 | - | 0 | 1 | - | Unknown |
| Rogue CRD: 317149 | - | 0 | 1 | - | Unknown |
| Rogue Advisors, LLC CRD: 132105 | - | 0 | 3 | - | Unknown |
| Rogue Investment Management, LLC CRD: 333265 | - | 0 | 0 | - | Unknown |
| Rogue Russell Investments CRD: 333111 | - | 0 | 2 | - | Unknown |
| Rogue Valley Wealth CRD: 309847 | - | 0 | 0 | - | Unknown |
| Rogy Financial Planning, LLC CRD: 312439 | - | 0 | 0 | - | Unknown |
| Roha Group Inc. CRD: 305119 | - | 0 | 1 | - | Unknown |
| Rohati Capital CRD: 335605 | - | 0 | 1 | - | Unknown |
| Rohatyn Associates LLC CRD: 114145 | - | 0 | 0 | A | INACTIVE |
| Rohde Wealth Management CRD: 338260 | - | 0 | 1 | - | Unknown |
| Rohdea Investment Management Limited CRD: 294883 | - | 0 | 0 | - | Unknown |
| Rohr Capital Management CRD: 299876 | - | 0 | 2 | - | Unknown |
| Rohr Financial Advisors, LLC CRD: 332018 | - | 0 | 1 | - | Unknown |
| ROI Advisory CRD: 328047 | - | 0 | 0 | - | Unknown |
| ROI Capital Management CRD: 159819 | - | 0 | 0 | - | Unknown |
| ROI Capital Management CRD: 329424 | - | 0 | 1 | - | Unknown |
| ROI Financial CRD: 160100 | - | 0 | 2 | - | Unknown |
| ROI Financial Planning CRD: 341025 | - | 0 | 1 | - | Unknown |
| ROI of Life CRD: 308468 | - | 0 | 0 | - | Unknown |
| Roka Wealth Strategists CRD: 143560 | - | 0 | 0 | - | Unknown |
| Rokos Capital Management (US) LP CRD: 306046 | - | 0 | 1 | - | Unknown |
| Rokr Capital Management LLC CRD: 324040 | - | 0 | 1 | - | Unknown |
| Roland Capital Group, LLC CRD: 318563 | - | 0 | 1 | - | Unknown |
| Roland Financial Wealth Management LLC CRD: 315175 | - | 0 | 1 | - | Unknown |
| Roland Francis & Co., Inc. CRD: 7798 | - | 0 | 0 | A | INACTIVE |
| Roland, Criss Investment Research, LLC CRD: 292171 | - | 0 | 1 | - | Unknown |
| Roland, Tobey Hillel CRD: 36689 | - | 0 | 0 | A | INACTIVE |
| Rolek Retirement Planning CRD: 285351 | - | 0 | 1 | - | Unknown |
| Rolf Adler Group Inc CRD: 106103 | - | 0 | 0 | - | Unknown |
| Roll Tack Ventures CRD: 330344 | - | 0 | 0 | - | Unknown |
| Rolling FUN WAS Already Taken, LLC CRD: 320625 | - | 0 | 1 | - | Unknown |
| Rolling Thunder Investment Group CRD: 329439 | - | 0 | 0 | - | Unknown |
| Rollingwave Capital CRD: 306453 | - | 0 | 2 | - | Unknown |
| Rollins Capital Management, LLC CRD: 167572 | - | 0 | 1 | - | Unknown |
| Rollins Financial Advisors, LLC CRD: 312921 | - | 0 | 6 | - | Unknown |