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 |
|---|---|---|---|---|---|
| Russell Investments Financial Services, LLC CRD: 21771 | WA | 0 | 6 | A | Active |
| Russell Investments Implementation Services, LLC CRD: 329 | WA | 3 | 5 | B | Active |
| Russell Investments, Inc. CRD: 14275 | - | 0 | 0 | A | INACTIVE |
| Russell J. D'alba CRD: 126347 | - | 0 | 1 | - | Unknown |
| Russell Miller Corporate Finance, Inc. CRD: 28714 | - | 0 | 0 | A | INACTIVE |
| Russell Mutter DBA RJM Financial CRD: 150942 | - | 0 | 0 | - | Unknown |
| Russell Securities Corporation CRD: 14197 | - | 0 | 0 | A | INACTIVE |
| Russell Securities Ltd Inc CRD: 32960 | - | 0 | 0 | A | INACTIVE |
| Russell Wealth Advisors CRD: 290403 | - | 0 | 1 | - | Unknown |
| Russell Wealth Management, LLC CRD: 168987 | - | 0 | 1 | - | Unknown |
| Russian River Financial Services, Inc. CRD: 41794 | - | 3 | 0 | B | INACTIVE |
| Russo Investment Management CRD: 107164 | - | 0 | 3 | - | Unknown |
| Russo Securities Inc. CRD: 14425 | - | 30 | 0 | F | INACTIVE |
| Rustic Canyon CRD: 162286 | - | 0 | 0 | - | Unknown |
| Rutabaga Capital Management LLC CRD: 108727 | - | 0 | 0 | - | Unknown |
| Rutberg & Company, LLC CRD: 113392 | - | 1 | 0 | B | INACTIVE |
| Rutenberg Securities Corporation CRD: 15477 | - | 0 | 0 | A | INACTIVE |
| Ruth Asset Management Co LLC CRD: 163970 | - | 0 | 1 | - | Unknown |
| Ruth Securities, Inc. CRD: 17627 | - | 0 | 0 | A | INACTIVE |
| Ruth, John Joseph CRD: 34103 | - | 0 | 0 | A | INACTIVE |
| Rutherfoord Financial Services, Inc. CRD: 120676 | - | 0 | 0 | A | INACTIVE |
| Rutherford Asset Planning, Inc. CRD: 128036 | - | 0 | 1 | - | Unknown |
| Rutherford Capital, Inc. CRD: 319416 | - | 0 | 1 | - | Unknown |
| Rutherford Investment Management CRD: 167545 | - | 0 | 6 | - | Unknown |
| Rutherford, Brown & Catherwood, LLC CRD: 10306 | - | 0 | 0 | A | INACTIVE |
| Ruthless for Good, LLC CRD: 332935 | - | 0 | 1 | - | Unknown |
| Ruthven TAX & Financial Planning CRD: 148678 | - | 0 | 0 | - | Unknown |
| Rutland Partners LLP CRD: 161728 | - | 0 | 0 | - | Unknown |
| Rutland Partners, L.P. CRD: 140258 | - | 0 | 0 | A | INACTIVE |
| Rutland Securities L.P. CRD: 18972 | - | 0 | 0 | A | INACTIVE |
| Rutledge Securities Group, LLC CRD: 38696 | - | 0 | 0 | A | INACTIVE |
| Ruton Capital Management, LP CRD: 285716 | - | 0 | 0 | - | Unknown |
| Rutterer Planning CRD: 316771 | - | 0 | 1 | - | Unknown |
| Ruyi Capital Management LLC CRD: 174286 | - | 0 | 0 | - | Unknown |
| RV Capital CRD: 173008 | - | 0 | 0 | - | Unknown |
| RV Capital Management Private Ltd CRD: 171385 | - | 0 | 0 | - | Unknown |
| RV Storage Capital Partners LLC CRD: 329408 | - | 0 | 0 | - | Unknown |
| RV Strategies CRD: 310973 | - | 0 | 1 | - | Unknown |
| Rvaa, LLC CRD: 143423 | - | 0 | 0 | A | INACTIVE |
| RVB Capital Management LLC CRD: 284855 | - | 0 | 0 | - | Unknown |
| RVFC Securities Corporation CRD: 14298 | - | 0 | 0 | A | INACTIVE |
| RVP Management, LLC CRD: 309936 | - | 0 | 1 | - | Unknown |
| RVR Securities Corp. CRD: 33938 | - | 0 | 0 | A | INACTIVE |
| RVW Wealth LLC CRD: 140451 | - | 0 | 4 | - | Unknown |
| RVX Asset Management LLC CRD: 282804 | - | 0 | 1 | - | Unknown |
| RW Baker Wealth Management Group LLC CRD: 297087 | - | 0 | 1 | - | Unknown |
| RW Financial Planning, LLC CRD: 281878 | - | 0 | 0 | - | Unknown |
| RW Investment Management LLC CRD: 282707 | - | 0 | 2 | - | Unknown |
| RW Investment Strategies CRD: 152202 | - | 0 | 0 | - | Unknown |
| RWA Advisors CRD: 150120 | - | 0 | 1 | - | Unknown |