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 |
|---|---|---|---|---|---|
| Rosen Capital Management Holdings, LLC CRD: 123585 | - | 0 | 0 | - | Unknown |
| Rosen Capital, L.P. CRD: 32128 | - | 0 | 0 | A | INACTIVE |
| Rosen Investment Management LLC CRD: 170033 | - | 0 | 1 | - | Unknown |
| Rosenbaum and Company Inc. CRD: 31503 | - | 0 | 0 | A | INACTIVE |
| Rosenbaum Capital, LLC CRD: 104382 | - | 2 | 0 | B | INACTIVE |
| Rosenbaum Financial CRD: 173805 | - | 0 | 0 | - | Unknown |
| Rosenbaum, Donald Richard CRD: 33355 | - | 0 | 0 | A | INACTIVE |
| Rosenberg Financial Group, Inc. CRD: 119314 | - | 0 | 0 | - | Unknown |
| Rosenberg Wealth Advisors CRD: 340471 | - | 0 | 3 | - | Unknown |
| Rosenberg Wealth Management LLC CRD: 323835 | - | 0 | 1 | - | Unknown |
| Rosenberry & Associates, Inc. CRD: 131062 | - | 0 | 0 | - | Unknown |
| Rosenblatt Global Advisors CRD: 311654 | - | 0 | 0 | - | Unknown |
| Rosenblatt Securities Inc. CRD: 18377 | NY | 6 | 3 | B | Active |
| Rosenblum Silverman Sutton SF Inc CRD: 105774 | - | 0 | 1 | - | Unknown |
| Rosenthal Advisory Services, L.P. CRD: 114533 | - | 0 | 0 | - | Unknown |
| Rosenthal Capital Management, LLC CRD: 140483 | - | 0 | 1 | - | Unknown |
| Rosenthal Collins Capital Management, LLC CRD: 146843 | - | 0 | 0 | A | INACTIVE |
| Rosenthal Collins Equities, L.L.C. CRD: 44888 | - | 0 | 0 | A | INACTIVE |
| Rosenthal Collins Securities, L.L.C CRD: 41915 | - | 1 | 0 | B | INACTIVE |
| Rosenthal Global Securities LLC CRD: 19721 | - | 0 | 0 | A | INACTIVE |
| Rosenthal International Limited CRD: 11219 | - | 0 | 0 | A | INACTIVE |
| Rosenthal Partners Capital Advisors LLC CRD: 159346 | - | 0 | 0 | - | Unknown |
| Rosenthal Securities Inc. CRD: 14170 | - | 0 | 0 | A | INACTIVE |
| Rosenthal | Henry Capital Advisors, Inc. CRD: 158537 | - | 0 | 1 | - | Unknown |
| Rosenwald Capital Management, Inc. CRD: 290118 | - | 0 | 1 | - | Unknown |
| Rosepoint Investments, LLC CRD: 325952 | - | 0 | 0 | - | Unknown |
| Roseridge Securities Corp. CRD: 27053 | - | 0 | 0 | A | INACTIVE |
| Roserock Capital Management, LP CRD: 305355 | - | 0 | 1 | - | Unknown |
| Roserock Wealth Management, LLC CRD: 288088 | - | 0 | 1 | - | Unknown |
| Rosetta Capital Limited CRD: 168176 | - | 0 | 0 | - | Unknown |
| Rosetta Partners LLC CRD: 47841 | - | 0 | 0 | A | INACTIVE |
| Roseview Investment Advisors, LLC CRD: 290914 | - | 0 | 0 | - | Unknown |
| Rosewood Capital CRD: 156823 | - | 0 | 0 | - | Unknown |
| Rosewood Financial Services, Inc. CRD: 10319 | - | 0 | 0 | A | INACTIVE |
| Rosewood Trust and Estate Services CRD: 142241 | - | 0 | 0 | - | Unknown |
| Rosewood Wealth Management CRD: 284837 | - | 0 | 1 | - | Unknown |
| Roshan Private Wealth Management, LLC CRD: 338403 | - | 0 | 1 | - | Unknown |
| Roshelen, Inc. CRD: 170904 | - | 0 | 1 | - | Unknown |
| Rosko Associates Inc. CRD: 128305 | - | 0 | 0 | - | Unknown |
| Roslund, John Cabell CRD: 112929 | - | 0 | 2 | - | Unknown |
| Roslund, Richard Henry CRD: 118445 | - | 0 | 0 | A | INACTIVE |
| Rosman and Company CRD: 126002 | - | 0 | 0 | - | Unknown |
| Rosman Asset Management, LLC CRD: 155922 | - | 0 | 1 | - | Unknown |
| Ross Anderson Capital Management, Inc. CRD: 22231 | - | 0 | 0 | A | INACTIVE |
| Ross Capital Investments, Inc. CRD: 164630 | - | 0 | 0 | - | Unknown |
| Ross Creek Capital Management, LLC CRD: 163820 | - | 0 | 1 | - | Unknown |
| Ross Financial Group CRD: 157627 | - | 0 | 1 | - | Unknown |
| Ross Infrastructure Development LLC CRD: 282620 | - | 0 | 0 | - | Unknown |
| Ross Larowe & Co. Inc. CRD: 18748 | - | 0 | 0 | A | INACTIVE |
| Ross Securities Corp. CRD: 15090 | - | 0 | 0 | A | INACTIVE |