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 |
|---|---|---|---|---|---|
| Rosales Wealth Management LLC CRD: 324172 | - | 0 | 1 | - | Unknown |
| Rosasharn Investment Management, LLC CRD: 173541 | - | 0 | 2 | - | Unknown |
| Roschman Capital Advisors, LLC CRD: 282080 | - | 0 | 1 | - | Unknown |
| Rosci Lamb, LLC CRD: 337278 | - | 0 | 1 | - | Unknown |
| Roscoe Capital Management, LLC CRD: 175129 | - | 0 | 1 | - | Unknown |
| Roscoe Financial CRD: 120248 | - | 0 | 3 | - | Unknown |
| Roscoewolach, Inc. CRD: 113801 | - | 0 | 0 | - | Unknown |
| Roscommon Analytics LLC CRD: 332346 | - | 0 | 1 | - | Unknown |
| Rose & Co. Capital Advisors, LLC CRD: 168274 | NY | 0 | 1 | A | Active |
| Rose & Company Investment Brokers, Inc. CRD: 6132 | - | 0 | 0 | A | INACTIVE |
| Rose Capital CRD: 106608 | - | 0 | 1 | - | Unknown |
| Rose Capital Advisors, LLC CRD: 173054 | - | 0 | 7 | - | Unknown |
| Rose City Capital Management, LLC CRD: 330103 | - | 0 | 1 | - | Unknown |
| Rose City Investment Consulting LLC CRD: 281760 | - | 0 | 2 | - | Unknown |
| Rose Digital LLC CRD: 335006 | - | 0 | 1 | - | Unknown |
| Rose Equities, Inc. CRD: 22508 | - | 0 | 0 | A | INACTIVE |
| Rose Grove Capital Management, LLC CRD: 156572 | - | 0 | 1 | - | Unknown |
| Rose Hill Capital, LP CRD: 287862 | - | 0 | 0 | - | Unknown |
| Rose LE Jeune Investment Brokers, Inc. CRD: 17884 | - | 0 | 0 | A | INACTIVE |
| Rose Park Advisors, LLC CRD: 162017 | - | 0 | 1 | - | Unknown |
| Rose Pine Financial CRD: 342646 | - | 0 | 1 | - | Unknown |
| Rose Securities Corporation CRD: 20573 | - | 0 | 0 | A | INACTIVE |
| Rose Smart Growth Investment Advisors, LLC CRD: 161271 | - | 0 | 1 | - | Unknown |
| Rose Square Capital, LLC CRD: 104178 | - | 1 | 0 | B | INACTIVE |
| Rose Valley Asset Management LLC CRD: 141671 | - | 0 | 2 | - | Unknown |
| Rose Wealth Advisors LLC CRD: 312572 | - | 0 | 0 | - | Unknown |
| Rose Wealth, LLC CRD: 334740 | - | 0 | 3 | - | Unknown |
| Rose, Ching CRD: 121948 | - | 0 | 0 | A | INACTIVE |
| Rosebay Capital Management, LLC CRD: 131173 | - | 0 | 0 | - | Unknown |
| Rosebrook Capital Partners CRD: 161368 | - | 0 | 0 | - | Unknown |
| Rosecap Investment Advisors, LLC CRD: 152054 | - | 0 | 4 | - | Unknown |
| Rosechase Financial CRD: 112600 | - | 0 | 0 | - | Unknown |
| Rosecliff Capital Advisory LLC CRD: 305951 | - | 0 | 1 | - | Unknown |
| Rosecliff Venture Management, LLC CRD: 300188 | - | 0 | 1 | - | Unknown |
| Rosedale Asset Management, LLC CRD: 159763 | - | 0 | 0 | - | Unknown |
| Roseheart Investment Advisors, LLC CRD: 161782 | - | 0 | 1 | - | Unknown |
| Rosel Wealth Management, LLC CRD: 291065 | - | 0 | 1 | - | Unknown |
| Roselaine Securities LLC CRD: 171237 | - | 1 | 0 | B | INACTIVE |
| Roseline Capitol Advisors, LLC CRD: 137604 | - | 0 | 1 | - | Unknown |
| Roseman Wagner Wealth Management CRD: 148221 | - | 0 | 3 | - | Unknown |
| Rosemark Advisors, Inc. CRD: 173677 | - | 0 | 1 | - | Unknown |
| Rosemary Barnes CFP CRD: 111829 | - | 0 | 0 | - | Unknown |
| Rosemary Frank Financial, LLC CRD: 279027 | - | 0 | 1 | - | Unknown |
| Rosemawr Management LLC CRD: 148984 | - | 0 | 1 | - | Unknown |
| Rosemeyer Management Group CRD: 310363 | - | 0 | 3 | - | Unknown |
| Rosemont Capital Management LLC CRD: 163189 | - | 0 | 0 | - | Unknown |
| Rosemont Equity Investment Fund GP LLC CRD: 327298 | - | 0 | 1 | - | Unknown |
| Rosemont Investment Partners, LLC CRD: 290063 | - | 0 | 1 | - | Unknown |
| Rosemount Capital LLC CRD: 159768 | - | 0 | 0 | - | Unknown |
| Rosen Capital Advisors, LLC CRD: 161161 | - | 0 | 0 | - | Unknown |