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 |
|---|---|---|---|---|---|
| Ronit Capital LLP CRD: 168055 | - | 0 | 0 | - | Unknown |
| Ronmiller Securities, Inc. CRD: 21268 | - | 0 | 0 | A | INACTIVE |
| Ronson Securities Corporation CRD: 10114 | - | 0 | 0 | A | INACTIVE |
| ROO Capital Management I, LLC CRD: 329892 | - | 0 | 1 | - | Unknown |
| Rood Financial, LLC CRD: 290771 | - | 0 | 3 | - | Unknown |
| Roof Advisory Group, Inc. CRD: 117969 | - | 0 | 0 | - | Unknown |
| Roof Eidam Maycock Peralta LLC CRD: 106696 | - | 0 | 5 | - | Unknown |
| Rook Financial LLC CRD: 312856 | - | 0 | 0 | - | Unknown |
| Rook Financial LLC CRD: 335543 | - | 0 | 1 | - | Unknown |
| Rook Strategies Wealth Management, PLLC CRD: 316901 | - | 0 | 1 | - | Unknown |
| Rooks Wealth Advisors, LLC CRD: 316013 | - | 0 | 2 | - | Unknown |
| Rookwood Wealth CRD: 335267 | - | 0 | 1 | - | Unknown |
| Rookwood Wealth Management, LLC CRD: 143983 | - | 0 | 2 | - | Unknown |
| Room40 Capital LLC CRD: 322436 | - | 0 | 1 | - | Unknown |
| Room40 Management, LLC CRD: 299241 | - | 0 | 0 | - | Unknown |
| Rooney Capital Management, Inc. CRD: 141874 | - | 0 | 1 | - | Unknown |
| Rooney Trading Inc. CRD: 31598 | - | 3 | 0 | C | INACTIVE |
| Rooney Wealth Management CRD: 338991 | - | 0 | 2 | - | Unknown |
| Rooney, Pace Inc. CRD: 6218 | - | 0 | 0 | A | INACTIVE |
| Roosevelt & Cross, Incorporated CRD: 6964 | NY | 4 | 14 | B | Active |
| Roosevelt Advisors LLC CRD: 292524 | - | 0 | 2 | - | Unknown |
| Roosevelt Capital Management LLC CRD: 283217 | - | 0 | 1 | - | Unknown |
| Roosevelt Investments CRD: 107853 | - | 0 | 0 | - | Unknown |
| Roosevelt Management Company LLC CRD: 161605 | - | 0 | 1 | - | Unknown |
| Root & WEB Community Financial LLC CRD: 342585 | - | 0 | 2 | - | Unknown |
| Root Capital - GestÃO DE Recursos Ltda. CRD: 323503 | - | 0 | 0 | - | Unknown |
| Root Financial Partners CRD: 290289 | - | 0 | 58 | - | Unknown |
| Root Management Company LLC CRD: 339505 | - | 0 | 1 | - | Unknown |
| Root River Capital, LLC CRD: 281350 | - | 0 | 0 | - | Unknown |
| Root Ventures Manager, LLC CRD: 175079 | - | 0 | 1 | - | Unknown |
| Root Wealth Management CRD: 329683 | - | 0 | 2 | - | Unknown |
| Rooted Financial Group, LLC CRD: 335302 | - | 0 | 1 | - | Unknown |
| Rooted Financial Planning CRD: 282184 | - | 0 | 0 | - | Unknown |
| Rooted Planning Group CRD: 284120 | - | 0 | 1 | - | Unknown |
| Rooted Planning LLC CRD: 323227 | - | 0 | 1 | - | Unknown |
| Rooted Wealth Advisors CRD: 313759 | - | 0 | 10 | - | Unknown |
| Rootn Wealth Management, Inc. CRD: 340886 | - | 0 | 1 | - | Unknown |
| Roots and Wings Financial CRD: 298602 | - | 0 | 0 | - | Unknown |
| Roots Capital Management Inc CRD: 318451 | - | 0 | 1 | - | Unknown |
| Roots Financial Planning CRD: 319196 | - | 0 | 0 | - | Unknown |
| Roots First Wealth Management CRD: 326161 | - | 0 | 1 | - | Unknown |
| Roots LLC CRD: 101800 | - | 0 | 0 | A | INACTIVE |
| Rootson Capital LLC CRD: 340459 | - | 0 | 1 | - | Unknown |
| Rootstock Advisors CRD: 167665 | - | 0 | 0 | - | Unknown |
| Ropemaker Capital, LLC CRD: 149310 | - | 0 | 0 | A | INACTIVE |
| Ropes Wealth Advisors CRD: 168615 | - | 0 | 0 | - | Unknown |
| Roppel Capital Management LLC CRD: 310237 | - | 0 | 1 | - | Unknown |
| ROR Capital LLC CRD: 169146 | - | 0 | 0 | - | Unknown |
| Rora Wealth, Inc. CRD: 297568 | - | 0 | 1 | - | Unknown |
| Rosales Wealth Group LLC CRD: 339652 | - | 0 | 1 | - | Unknown |