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 |
|---|---|---|---|---|---|
| Routeburn Capital CRD: 338912 | - | 0 | 1 | - | Unknown |
| Router Ventures Management, LLC CRD: 285307 | - | 0 | 1 | - | Unknown |
| Routman Asset Management CRD: 285712 | - | 0 | 0 | - | Unknown |
| Rovan Securities Corporation CRD: 16819 | - | 0 | 0 | A | INACTIVE |
| Roventini Financial Services, Inc CRD: 142079 | - | 0 | 1 | - | Unknown |
| Rover Capital Partners (RCP) CRD: 166849 | - | 0 | 0 | - | Unknown |
| Rovia Advisors LLC CRD: 339115 | - | 0 | 0 | - | Unknown |
| Rovia Tree Financial LLC CRD: 305759 | - | 0 | 1 | - | Unknown |
| Rovin Capital CRD: 157849 | - | 0 | 0 | - | Unknown |
| Rovin Capital CRD: 152662 | - | 0 | 2 | - | Unknown |
| ROW Asset Management, LLC CRD: 168336 | - | 0 | 1 | - | Unknown |
| ROW Associates, LLC CRD: 309073 | - | 0 | 0 | A | INACTIVE |
| ROW Management Inc. CRD: 332345 | - | 0 | 1 | - | Unknown |
| ROW Your OWN Boat CRD: 291886 | - | 0 | 1 | - | Unknown |
| Rowan Financial LLC CRD: 146650 | - | 0 | 2 | - | Unknown |
| Rowayton Investment Advisors CRD: 161597 | - | 0 | 1 | - | Unknown |
| Rowe & Company, Inc. CRD: 7723 | - | 1 | 0 | B | INACTIVE |
| Rowe & Pitman, Inc. CRD: 3236 | - | 0 | 0 | A | INACTIVE |
| Rowe Capital Partners, L.L.C. CRD: 116428 | - | 1 | 0 | B | INACTIVE |
| Rowe Consulting Group, LLC CRD: 155611 | - | 0 | 2 | - | Unknown |
| Rowe, Holland & Troutman PLLC Cpa's CRD: 150956 | - | 0 | 0 | - | Unknown |
| Rowen Capital Management, LLC CRD: 154797 | - | 0 | 2 | - | Unknown |
| Rowland Carmichael Advisors Inc CRD: 105766 | - | 0 | 0 | - | Unknown |
| Rowland Clearing Services, Inc. CRD: 10508 | - | 0 | 0 | A | INACTIVE |
| Rowland Financial Services CRD: 284540 | - | 0 | 2 | - | Unknown |
| Rowland Miller + Partners LLC CRD: 226629 | - | 0 | 1 | - | Unknown |
| Rowland Securities Corporation CRD: 10186 | - | 0 | 0 | A | INACTIVE |
| Rowland, Simon & Co. CRD: 21666 | - | 0 | 0 | A | INACTIVE |
| Rowley Financial CRD: 326723 | - | 0 | 1 | - | Unknown |
| Rowley Financial LLC CRD: 299182 | - | 0 | 2 | - | Unknown |
| Rowling & Associates CRD: 160864 | - | 0 | 0 | - | Unknown |
| Roxbury Asset Management Limited CRD: 286590 | - | 0 | 0 | - | Unknown |
| Roxbury Financial CRD: 330547 | - | 0 | 1 | - | Unknown |
| Roxie Webb Securities Management,Inc. CRD: 115951 | - | 0 | 0 | - | Unknown |
| ROY Gregory Investments, LLC CRD: 282398 | - | 0 | 0 | - | Unknown |
| ROY W. Dodson Financial Planner CRD: 115635 | - | 0 | 0 | - | Unknown |
| Royal & Associates, Inc. CRD: 135663 | - | 0 | 1 | - | Unknown |
| Royal Advisors, LLC CRD: 145006 | - | 0 | 0 | - | Unknown |
| Royal American Financial Advisors, LLC CRD: 111192 | - | 0 | 1 | - | Unknown |
| Royal Asset Management Group Inc. CRD: 126645 | - | 0 | 0 | - | Unknown |
| Royal Asset Managers CRD: 128340 | - | 0 | 2 | - | Unknown |
| Royal Bank of Canada Investment Management(USA) Li… CRD: 112284 | - | 0 | 0 | - | Unknown |
| Royal Bridge Advisors LLC CRD: 306335 | - | 0 | 0 | - | Unknown |
| Royal Capital Management LLC CRD: 139910 | - | 0 | 0 | - | Unknown |
| Royal Capital Management, LLC CRD: 137666 | - | 0 | 0 | - | Unknown |
| Royal Capital Wealth Management LLC CRD: 292217 | - | 0 | 3 | - | Unknown |
| Royal Class Securities Inc. CRD: 16824 | - | 0 | 0 | A | INACTIVE |
| Royal Eagle Capital Advisors CRD: 325585 | - | 0 | 0 | - | Unknown |
| Royal Financial CRD: 111339 | - | 0 | 0 | - | Unknown |
| Royal Financial Group, Inc. CRD: 17844 | - | 0 | 0 | A | INACTIVE |