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 |
|---|---|---|---|---|---|
| Aurora Investment Counsel CRD: 107460 | - | 0 | 1 | - | Unknown |
| Aurora Investment Management L.L.C. CRD: 127065 | - | 0 | 0 | - | Unknown |
| Aurora Management LLC CRD: 330901 | - | 0 | 1 | - | Unknown |
| Aurora Management Partners LLC CRD: 158845 | - | 0 | 0 | - | Unknown |
| Aurora Private Wealth, Inc. CRD: 281604 | - | 0 | 22 | - | Unknown |
| Aurora RE Fund Manager, LLC CRD: 340797 | - | 0 | 1 | - | Unknown |
| Aurora Securities CRD: 46147 | MI | 0 | 29 | A | Active |
| Aurora Strategic Advisors, LLC CRD: 268828 | - | 0 | 1 | - | Unknown |
| Aurora Tech LLC CRD: 338357 | - | 0 | 0 | - | Unknown |
| Aurora Wealth Advisors CRD: 322947 | - | 0 | 1 | - | Unknown |
| Aurora Wealth Advisors LLC CRD: 309280 | - | 0 | 0 | - | Unknown |
| Auroville Investment Management (HK) Limited CRD: 289024 | - | 0 | 0 | - | Unknown |
| Aurum Capital LLC CRD: 308565 | - | 0 | 0 | - | Unknown |
| Aurum EP GP LLC CRD: 337707 | - | 0 | 1 | - | Unknown |
| Aurum Fund Management Ltd. CRD: 312888 | - | 0 | 0 | - | Unknown |
| Aurum Partners LLC CRD: 328902 | - | 0 | 1 | - | Unknown |
| Aurum Research Limited CRD: 312874 | - | 0 | 0 | - | Unknown |
| Aurum Securities Corp. CRD: 38598 | - | 0 | 0 | A | INACTIVE |
| Aurum VP GP LLC CRD: 343097 | - | 0 | 1 | - | Unknown |
| Aurus Advisors, Inc. CRD: 128096 | FL | 0 | 4 | A | Active |
| Ausdal Financial Partners, Inc. CRD: 7995 | IA | 2 | 198 | B | Active |
| Auspex Energy Management, LLC CRD: 336687 | - | 0 | 1 | - | Unknown |
| Aust Financial Advisory, LLC CRD: 153724 | - | 0 | 1 | - | Unknown |
| Austec Wealth Management, LLC CRD: 173741 | - | 0 | 1 | - | Unknown |
| Austen Investments, LLC CRD: 313643 | - | 0 | 1 | - | Unknown |
| Austen Morris Associates North America CRD: 322965 | - | 0 | 0 | - | Unknown |
| Austin 180 Advisory Group LLC CRD: 292141 | - | 0 | 1 | - | Unknown |
| Austin 180 Media Capital Corporation CRD: 302043 | - | 0 | 0 | - | Unknown |
| Austin Asset CRD: 105441 | - | 0 | 4 | - | Unknown |
| Austin Atlantic Asset Management Co. CRD: 110035 | - | 0 | 0 | - | Unknown |
| Austin Atlantic Capital Inc. CRD: 43981 | FL | 2 | 3 | B | Active |
| Austin Consulting CRD: 327134 | - | 0 | 1 | - | Unknown |
| Austin Creek Capital, LLC CRD: 313554 | - | 0 | 2 | - | Unknown |
| Austin Financial Advisors, Inc. CRD: 116745 | - | 0 | 0 | - | Unknown |
| Austin Growth Capital, LLC CRD: 317355 | TX | 0 | 2 | A | Active |
| Austin Investment Advisors CRD: 171654 | - | 0 | 0 | - | Unknown |
| Austin Investment Planning, Inc. CRD: 10009 | - | 0 | 0 | A | INACTIVE |
| Austin Money Management Corporation CRD: 302038 | - | 0 | 1 | - | Unknown |
| Austin National Financial Services CRD: 115135 | - | 0 | 1 | - | Unknown |
| Austin Private Wealth, LLC CRD: 304344 | - | 0 | 0 | - | Unknown |
| Austin Securities, Inc. CRD: 17094 | - | 6 | 0 | C | INACTIVE |
| Austin Value Capital, LLC CRD: 168647 | - | 0 | 0 | - | Unknown |
| Austin Ventures CRD: 160118 | - | 0 | 1 | - | Unknown |
| Austin Wealth Management, LLC CRD: 172793 | - | 0 | 1 | - | Unknown |
| Austin Wealth Solutions CRD: 319597 | - | 0 | 1 | - | Unknown |
| Austin, Davenport Associates, Inc. CRD: 14811 | - | 0 | 0 | A | INACTIVE |
| Austin, James CRD: 290354 | - | 0 | 0 | - | Unknown |
| Australis Partners (Advisers) LLC CRD: 175505 | - | 0 | 1 | - | Unknown |
| Authent Advisors, Inc. CRD: 148520 | - | 0 | 0 | - | Unknown |
| Authentic Financial Planning CRD: 153032 | - | 0 | 1 | - | Unknown |