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 |
|---|---|---|---|---|---|
| Rothschild Capital Partners CRD: 161688 | - | 0 | 6 | - | Unknown |
| Rothschild Equity Management Group, Inc. CRD: 11033 | - | 0 | 0 | A | INACTIVE |
| Rothschild Financial Partners, LLC CRD: 342696 | - | 0 | 1 | - | Unknown |
| Rothschild Global Investments, Inc. CRD: 16700 | - | 0 | 0 | A | INACTIVE |
| Rothschild Investment LLC CRD: 728 | IL | 17 | 6 | C | Active |
| Rothschild Lieberman LLC CRD: 10030 | - | 2 | 0 | B | INACTIVE |
| Rothschild Registry International, Inc. CRD: 11014 | - | 0 | 0 | A | INACTIVE |
| Rothschild Wealth LLC CRD: 162442 | - | 0 | 5 | - | Unknown |
| Rothwell Investment Advisors CRD: 337504 | - | 0 | 2 | - | Unknown |
| Rotr Management Company, Inc. CRD: 291187 | - | 0 | 1 | - | Unknown |
| Rotunda Capital Partners, LLC CRD: 290282 | - | 0 | 1 | - | Unknown |
| Roubaix Capital, LLC CRD: 269879 | - | 0 | 1 | - | Unknown |
| Roud Financial Services, LLC CRD: 156492 | - | 0 | 1 | - | Unknown |
| Roulston Research Corp. CRD: 3235 | - | 0 | 0 | A | INACTIVE |
| Roulston Research Corp. CRD: 17864 | - | 0 | 0 | A | INACTIVE |
| Roumell Asset Management, LLC CRD: 114057 | - | 0 | 0 | - | Unknown |
| Round CRD: 285935 | - | 0 | 0 | - | Unknown |
| Round Hill Asset Management Inc CRD: 107069 | - | 0 | 2 | - | Unknown |
| Round Hill Capital CRD: 306688 | - | 0 | 0 | - | Unknown |
| Round Hill CH SPV Manager LLC CRD: 330131 | - | 0 | 1 | - | Unknown |
| Round Hill Music LP CRD: 167234 | - | 0 | 1 | - | Unknown |
| Round Hill Securities, Inc. CRD: 35223 | - | 8 | 0 | D | INACTIVE |
| Round OAK Capital LLC CRD: 139916 | - | 0 | 1 | - | Unknown |
| Round Pond Capital, Inc. CRD: 147486 | - | 0 | 0 | - | Unknown |
| Round Rock Advisors LLC CRD: 286007 | - | 0 | 2 | - | Unknown |
| Round Table Capital Management CRD: 296973 | - | 0 | 0 | - | Unknown |
| Round Table Capital Management CRD: 298046 | - | 0 | 0 | - | Unknown |
| Round Table Financial CRD: 307113 | - | 0 | 1 | - | Unknown |
| Round Table Investment Management, LLC CRD: 182514 | - | 0 | 1 | - | Unknown |
| Round Table Investment Strategies, LLC CRD: 139492 | - | 0 | 2 | - | Unknown |
| Round Table Wealth Management CRD: 111304 | - | 0 | 0 | - | Unknown |
| Round2 Investment Partners LLC CRD: 326807 | - | 0 | 0 | - | Unknown |
| Roundabout Asset Management LP CRD: 282322 | - | 0 | 0 | - | Unknown |
| Roundangle Advisors LLC CRD: 282178 | - | 0 | 0 | - | Unknown |
| Roundfield Financial, LLC CRD: 298676 | - | 0 | 0 | - | Unknown |
| Roundhill Investments CRD: 300799 | - | 0 | 1 | - | Unknown |
| Roundrock Capital Partners, L.P. CRD: 117615 | - | 0 | 0 | - | Unknown |
| Roundshield Advisors (UK) Limited CRD: 310267 | - | 0 | 0 | - | Unknown |
| Roundshield Partners LLP CRD: 171982 | - | 0 | 0 | - | Unknown |
| Roundtable Capital Services LLC CRD: 142784 | - | 0 | 0 | A | INACTIVE |
| Roundtable Forum, LLC CRD: 127899 | - | 0 | 0 | - | Unknown |
| Roundtable Funding LLC CRD: 312645 | - | 0 | 2 | - | Unknown |
| Roundtable Healthcare Management, Inc CRD: 161235 | - | 0 | 1 | - | Unknown |
| Roundtable Planning & Investments CRD: 335767 | - | 0 | 1 | - | Unknown |
| Roundview Capital, LLC CRD: 148083 | - | 0 | 1 | - | Unknown |
| Rountree, Douglas Brian CRD: 31932 | - | 0 | 0 | A | INACTIVE |
| Roush Investment Group CRD: 151288 | - | 0 | 0 | - | Unknown |
| Route 20 Private Wealth Inc. CRD: 332581 | - | 0 | 1 | - | Unknown |
| Route Financial Planning CRD: 288310 | - | 0 | 0 | - | Unknown |
| Route ONE Investment Company, L.P. CRD: 156398 | - | 0 | 1 | - | Unknown |