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 |
|---|---|---|---|---|---|
| RTE Securities, Inc. CRD: 39623 | - | 0 | 0 | A | INACTIVE |
| RTH Financial Management L.L.C. CRD: 318841 | - | 0 | 0 | - | Unknown |
| RTJ Financial Management, Inc. CRD: 129511 | - | 0 | 0 | - | Unknown |
| RTM Asset Management, LLC CRD: 143087 | - | 0 | 2 | - | Unknown |
| RTM Capital Advisors LLC CRD: 285969 | - | 0 | 0 | - | Unknown |
| RTN Investments CRD: 301212 | - | 0 | 0 | - | Unknown |
| RTP Global Management LLC CRD: 314073 | - | 0 | 1 | - | Unknown |
| RTP Ventures CRD: 167548 | - | 0 | 0 | - | Unknown |
| RTS Capital Corporation CRD: 11003 | - | 0 | 0 | A | INACTIVE |
| RTS Capital, LLC CRD: 144102 | - | 0 | 0 | A | INACTIVE |
| RTS Private Wealth Management CRD: 117676 | - | 0 | 0 | - | Unknown |
| RTS Securities Group, Inc. CRD: 132326 | - | 0 | 0 | A | INACTIVE |
| RTS Wealth Management CRD: 288589 | - | 0 | 0 | - | Unknown |
| RTW Financial Advisors Inc CRD: 109934 | - | 0 | 3 | - | Unknown |
| RTW Investments LP CRD: 153232 | - | 0 | 1 | - | Unknown |
| Ruan Securities Corporation CRD: 16276 | - | 7 | 0 | D | INACTIVE |
| Ruane Cunniff L.P. CRD: 285971 | - | 0 | 1 | - | Unknown |
| Ruane, Cunniff & Co., Inc. CRD: 3994 | - | 3 | 0 | C | INACTIVE |
| Ruane, Cunniff & Goldfarb LLC CRD: 130062 | - | 4 | 0 | C | INACTIVE |
| Ruben Cano Consulting CRD: 337523 | - | 0 | 0 | - | Unknown |
| Rubenstein Partners CRD: 156988 | - | 0 | 1 | - | Unknown |
| Rubett Capital Management, LLC CRD: 296889 | - | 0 | 0 | - | Unknown |
| Rubey & Rust Capital Management, LLC CRD: 282776 | - | 0 | 2 | - | Unknown |
| Rubicon Advisors CRD: 174447 | - | 0 | 8 | - | Unknown |
| Rubicon Asset Management LLC CRD: 300604 | - | 0 | 1 | - | Unknown |
| Rubicon Boundary Waters, LLC CRD: 329773 | - | 0 | 1 | - | Unknown |
| Rubicon Capital Advisors CRD: 283566 | - | 0 | 1 | A | Active |
| Rubicon Crypto, LLC CRD: 314962 | - | 0 | 0 | - | Unknown |
| Rubicon Financial Network CRD: 113980 | - | 0 | 1 | - | Unknown |
| Rubicon Founders, LLC CRD: 315631 | - | 0 | 1 | - | Unknown |
| Rubicon Fund Management, LLP CRD: 161762 | - | 0 | 0 | - | Unknown |
| Rubicon Global Group, Rubicon Global Advisors CRD: 127585 | - | 0 | 1 | - | Unknown |
| Rubicon Global Investments, LLC CRD: 134268 | - | 1 | 0 | B | INACTIVE |
| Rubicon Investment Group LLC CRD: 304607 | - | 0 | 1 | - | Unknown |
| Rubicon Investment Management & Analytics CRD: 141219 | - | 0 | 1 | - | Unknown |
| Rubicon Investments, LLC CRD: 113036 | - | 0 | 0 | A | INACTIVE |
| Rubicon Securities CRD: 40130 | - | 1 | 0 | B | INACTIVE |
| Rubicon Technology Management L.L.C. CRD: 169875 | - | 0 | 1 | - | Unknown |
| Rubik Capital Inc CRD: 312376 | - | 0 | 1 | - | Unknown |
| Rubin Investment Company CRD: 13320 | - | 0 | 0 | A | INACTIVE |
| Rubin Investments CRD: 127051 | - | 0 | 0 | - | Unknown |
| Rubin Overseas Ltd. CRD: 169309 | - | 0 | 0 | - | Unknown |
| Rubinbrown Advisors LLC CRD: 116909 | - | 0 | 21 | - | Unknown |
| Rubinbrown Brokerage Services, L.L.C. CRD: 111904 | - | 0 | 0 | A | INACTIVE |
| Rubinbrown Corporate Finance, LLC CRD: 322460 | MO | 0 | 3 | A | Active |
| Rubinstein & Read Securities, Inc. CRD: 7230 | - | 0 | 0 | A | INACTIVE |
| Ruble Securities Corporation CRD: 13674 | - | 0 | 0 | A | INACTIVE |
| Rubric Advisors LLC CRD: 336764 | - | 0 | 1 | - | Unknown |
| Rubric Capital Management LP CRD: 285090 | - | 0 | 1 | - | Unknown |
| Ruby Capital Partners LLP CRD: 173604 | - | 0 | 0 | - | Unknown |