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 |
|---|---|---|---|---|---|
| Ross Securities Corp. CRD: 30263 | - | 0 | 0 | A | INACTIVE |
| Ross Securities Corporation CRD: 113796 | - | 0 | 0 | A | INACTIVE |
| Ross Wealth Advisors, LLC CRD: 304359 | - | 0 | 1 | - | Unknown |
| Ross Wealth Group, LLC CRD: 331750 | - | 0 | 2 | - | Unknown |
| Ross, Pfaelzer & Assoc. Inc. CRD: 17840 | - | 0 | 0 | A | INACTIVE |
| Ross, Sinclaire & Associates, LLC CRD: 25440 | - | 13 | 0 | D | INACTIVE |
| Ross, Stebbins Inc. CRD: 6381 | - | 0 | 0 | A | INACTIVE |
| Ross, Steven H. CRD: 34034 | - | 0 | 0 | A | INACTIVE |
| Ross, Theodore Frederick CRD: 131362 | - | 0 | 0 | - | Unknown |
| Ross, William David CRD: 103764 | - | 0 | 0 | A | INACTIVE |
| Rossby Financial, LLC CRD: 324631 | - | 0 | 28 | - | Unknown |
| Rossell & Associates Inc CRD: 295118 | - | 0 | 1 | - | Unknown |
| Rosser Capital Partners Management, L.P. CRD: 172645 | - | 0 | 1 | - | Unknown |
| Rossi and Associates CRD: 142296 | - | 0 | 0 | - | Unknown |
| Rossi Dubuque Breckenridge, LLC CRD: 155284 | - | 0 | 1 | - | Unknown |
| Rossi Financial Group CRD: 164096 | - | 0 | 1 | - | Unknown |
| Rossjohnson & Associates, LLC CRD: 297583 | - | 0 | 1 | - | Unknown |
| Rossmore Private Capital, LLC CRD: 288453 | - | 0 | 1 | - | Unknown |
| Rossoff & Co. LLC CRD: 148440 | - | 0 | 0 | A | INACTIVE |
| Rostad Capital Management, Inc. CRD: 282176 | - | 0 | 1 | - | Unknown |
| Rosten Capital Investments LLC CRD: 316260 | - | 0 | 0 | - | Unknown |
| Rosten Capital Investments LLC CRD: 339888 | - | 0 | 1 | - | Unknown |
| Roswell Asset Advisors LLC CRD: 173918 | - | 0 | 0 | - | Unknown |
| Roswell Capital Securities, LLC CRD: 135386 | - | 0 | 0 | A | INACTIVE |
| Rotan Mosle Inc. CRD: 727 | - | 0 | 0 | A | INACTIVE |
| Rotation Capital Management LP CRD: 173564 | - | 0 | 0 | - | Unknown |
| Rotella Capital Management, Inc. CRD: 162776 | - | 0 | 0 | - | Unknown |
| Roth Asset Management, Inc. CRD: 128368 | - | 0 | 0 | - | Unknown |
| Roth Builder Investments CRD: 311169 | - | 0 | 2 | - | Unknown |
| Roth Capital Partners, LLC CRD: 15407 | CA | 28 | 18 | D | Active |
| Roth Financial Partners LLC CRD: 309814 | - | 0 | 1 | - | Unknown |
| Roth Financial Planning LLC CRD: 293156 | - | 0 | 0 | - | Unknown |
| Roth Investment Management, LLC CRD: 289798 | - | 0 | 1 | - | Unknown |
| Roth Securities Company CRD: 3230 | - | 0 | 0 | A | INACTIVE |
| Roth Wellington & Company, Ltd. CRD: 16384 | - | 0 | 0 | A | INACTIVE |
| Rothamel Wealth Management, LLC CRD: 302081 | - | 0 | 1 | - | Unknown |
| Rothenberg Ventures LLC CRD: 169646 | - | 0 | 1 | - | Unknown |
| Rothenberg-Rosenfield Investments Inc CRD: 13927 | - | 0 | 0 | A | INACTIVE |
| Rothlein, Andrew CRD: 104011 | - | 0 | 0 | A | INACTIVE |
| Rothlein, Andrew CRD: 32813 | - | 0 | 0 | A | INACTIVE |
| Rothman Investment Management, LLC CRD: 173139 | - | 0 | 1 | - | Unknown |
| Rothman Securities, Inc. CRD: 13907 | - | 1 | 0 | B | INACTIVE |
| Rothman, Michael Crown CRD: 33651 | - | 0 | 0 | A | INACTIVE |
| Rothrock Financial Group CRD: 165112 | - | 0 | 0 | - | Unknown |
| Rothrock Financial Group CRD: 335275 | - | 0 | 1 | - | Unknown |
| Rothschild & Co Asset Management US Inc. CRD: 110349 | - | 0 | 0 | - | Unknown |
| Rothschild & Co Redburn CRD: 325601 | - | 0 | 0 | - | Unknown |
| Rothschild & Co Redburn CRD: 140564 | NY | 1 | 4 | B | Active |
| Rothschild & Co US Inc. CRD: 2910 | NY | 1 | 5 | B | Active |
| Rothschild and Co Wealth Management UK Limited CRD: 158022 | - | 0 | 0 | - | Unknown |