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 |
|---|---|---|---|---|---|
| Royal Financial Investment Group CRD: 316433 | - | 0 | 1 | - | Unknown |
| Royal Fund Management, LLC CRD: 144434 | - | 0 | 96 | - | Unknown |
| Royal Hutton Securities Corp. CRD: 14489 | - | 12 | 0 | D | INACTIVE |
| Royal Investment Adviser CRD: 305333 | - | 0 | 1 | - | Unknown |
| Royal Lane Securities, Inc. CRD: 5389 | - | 0 | 0 | A | INACTIVE |
| Royal Maccabees Securities Company CRD: 6704 | - | 0 | 0 | A | INACTIVE |
| Royal OAK Financial Advisors, LLC CRD: 290152 | - | 0 | 1 | - | Unknown |
| Royal OAK Financial Group CRD: 166391 | - | 0 | 1 | - | Unknown |
| Royal Oaks Advisors LLC CRD: 170757 | - | 0 | 1 | - | Unknown |
| Royal Oaks Equities Corp. CRD: 13147 | - | 0 | 0 | A | INACTIVE |
| Royal Ocean Asset Management LLC CRD: 288473 | - | 0 | 0 | - | Unknown |
| Royal Palm Capital, Inc. CRD: 21969 | - | 0 | 0 | A | INACTIVE |
| Royal Palm Investment Advisors, Inc CRD: 142335 | - | 0 | 2 | - | Unknown |
| Royal Palm Investment Securities, Inc. CRD: 19575 | - | 0 | 0 | A | INACTIVE |
| Royal Palm Investments, Ltd. CRD: 28761 | - | 0 | 0 | A | INACTIVE |
| Royal Palms Capital, LLC CRD: 135304 | - | 0 | 1 | - | Unknown |
| Royal Road Wealth Partners, LLC CRD: 304973 | - | 0 | 1 | - | Unknown |
| Royal Securities Company CRD: 10702 | - | 9 | 0 | D | INACTIVE |
| Royal Street Ventures Management Company, LLC CRD: 305797 | - | 0 | 1 | - | Unknown |
| Royal Treasure Advisory LLC CRD: 329343 | - | 0 | 1 | - | Unknown |
| Royal Treasure Securities LLC CRD: 292325 | NY | 0 | 2 | A | Active |
| Royal Wealth Management CRD: 147636 | - | 0 | 1 | - | Unknown |
| Royal/Grimm & Davis, Inc. CRD: 8273 | - | 0 | 0 | A | INACTIVE |
| Royale Asset Management LLC CRD: 281827 | - | 0 | 1 | - | Unknown |
| Royale Investment Advisor LLC CRD: 141287 | - | 0 | 2 | - | Unknown |
| Royally Frank LLC CRD: 343125 | - | 0 | 1 | - | Unknown |
| Royalton Partners S.A. CRD: 286015 | - | 0 | 0 | - | Unknown |
| Royalty Pharma Manager, LLC CRD: 334982 | - | 0 | 1 | - | Unknown |
| Royalty Pharma SUB-Manager, LLC CRD: 335070 | - | 0 | 1 | - | Unknown |
| Royalty Securities Corporation CRD: 24553 | - | 0 | 0 | A | INACTIVE |
| Royalty Wealth Management, Inc. CRD: 174534 | - | 0 | 1 | - | Unknown |
| Royce Fund Services, LLC CRD: 14470 | NY | 0 | 2 | A | Active |
| Royce Investment Group, Inc. CRD: 10494 | - | 0 | 0 | A | INACTIVE |
| Royce Investment Partners CRD: 107689 | - | 0 | 1 | - | Unknown |
| Royce Park Investments, Inc. CRD: 16539 | - | 0 | 0 | A | INACTIVE |
| Roycroft Management, Inc. CRD: 132504 | - | 0 | 0 | - | Unknown |
| Royse Securities, Ltd. CRD: 30607 | - | 0 | 0 | A | INACTIVE |
| Roystone Capital Management LP CRD: 167004 | - | 0 | 0 | - | Unknown |
| Rozanna Patane Financial Advisor CRD: 121702 | - | 0 | 0 | - | Unknown |
| Rozario Global Management LLC CRD: 340320 | - | 0 | 1 | - | Unknown |
| RP Capital LLC CRD: 134768 | - | 0 | 0 | A | INACTIVE |
| RP Capital Partners Cayman Islands Limited CRD: 139003 | - | 0 | 0 | - | Unknown |
| RP Family Holdings LLC CRD: 290068 | - | 0 | 0 | - | Unknown |
| RP Investment Advisors LP CRD: 333687 | - | 0 | 0 | - | Unknown |
| RP Management, LLC CRD: 161569 | - | 0 | 1 | - | Unknown |
| RP Slater Financial Management, LLC CRD: 154055 | - | 0 | 0 | - | Unknown |
| RP Zeigler Investment Services CRD: 297925 | - | 0 | 1 | - | Unknown |
| RPA Financial, LLC CRD: 294105 | - | 0 | 4 | - | Unknown |
| Rpata, LLC CRD: 285598 | - | 0 | 4 | - | Unknown |
| RPC Private Wealth, LLC CRD: 298527 | - | 0 | 1 | - | Unknown |