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 |
|---|---|---|---|---|---|
| Authentic Ventures Investment Manager, LLC CRD: 304938 | - | 0 | 1 | - | Unknown |
| Authentikos Wealth Advisory LLC CRD: 286646 | - | 0 | 4 | - | Unknown |
| Autilus Partners LLC CRD: 322882 | - | 0 | 1 | - | Unknown |
| Auto Club Equities, Inc. CRD: 36642 | - | 0 | 0 | A | INACTIVE |
| Auto Club Funds, Inc. CRD: 10580 | - | 1 | 0 | B | INACTIVE |
| Autodidactic Funds LLC CRD: 281721 | - | 0 | 0 | - | Unknown |
| Automated Equity Finance Markets, Inc. CRD: 147941 | NY | 0 | 2 | A | Active |
| Automated Trading Desk Brokerage Services, LLC CRD: 36000 | - | 3 | 0 | C | INACTIVE |
| Automated Trading Desk Service Bureau, LLC CRD: 139626 | - | 0 | 0 | A | INACTIVE |
| Automated Trading Desk Specialists, LLC CRD: 114026 | - | 2 | 0 | B | INACTIVE |
| Automotive Ventures Fund Management, LLC CRD: 321959 | - | 0 | 0 | - | Unknown |
| Autonomous Research LLP CRD: 150232 | - | 0 | 0 | A | INACTIVE |
| Autonomous Research US LP CRD: 165290 | - | 0 | 0 | A | INACTIVE |
| Autonomy CRD: 331036 | - | 0 | 0 | - | Unknown |
| Autonomy Capital CRD: 157275 | - | 0 | 0 | - | Unknown |
| Autonomy Capital (Jersey) L.P. CRD: 294733 | - | 0 | 0 | - | Unknown |
| Autonomy Capital (Jersey) L.P. CRD: 338365 | - | 0 | 0 | - | Unknown |
| Autopilot CRD: 331749 | - | 0 | 1 | - | Unknown |
| Autosport Fund Advisors, Inc. CRD: 150875 | - | 0 | 0 | - | Unknown |
| Autotech Management, L.L.C. CRD: 282525 | - | 0 | 1 | - | Unknown |
| Autranet, LLC CRD: 8192 | - | 0 | 0 | A | INACTIVE |
| Autumn Financial Advisors, LLC CRD: 290151 | - | 0 | 1 | - | Unknown |
| Autumn Glory Partners, LLC CRD: 288250 | - | 0 | 1 | - | Unknown |
| Autumn Lane Advisors, LLC CRD: 173624 | - | 0 | 1 | - | Unknown |
| Autumn Wind Asset Management Inc CRD: 110569 | - | 0 | 0 | - | Unknown |
| Autus Asset Management, LLC CRD: 118439 | - | 0 | 0 | - | Unknown |
| Auvrax Technologies Inc CRD: 341628 | - | 0 | 1 | - | Unknown |
| Auxan Capital Advisors, LLC CRD: 133061 | - | 0 | 3 | - | Unknown |
| Auxano Advisors CRD: 145179 | - | 0 | 2 | - | Unknown |
| Auxano Capital, LLC CRD: 311917 | - | 0 | 0 | - | Unknown |
| Auxarc Asset Management Company CRD: 154173 | - | 0 | 1 | - | Unknown |
| Auxi Asset Management, LLC CRD: 135421 | - | 0 | 1 | - | Unknown |
| Auxier Asset Management CRD: 107980 | - | 0 | 6 | - | Unknown |
| Auxilium Investment Advisors CRD: 307385 | - | 0 | 0 | - | Unknown |
| AV Capital Management, L.L.C. CRD: 288140 | - | 0 | 1 | - | Unknown |
| AV Fund Management, LLC CRD: 328286 | - | 0 | 0 | - | Unknown |
| AV Ventures LLC CRD: 309052 | - | 0 | 0 | - | Unknown |
| AV Wealth Advisors LLC CRD: 328600 | - | 0 | 0 | - | Unknown |
| AV7 LLC CRD: 337467 | - | 0 | 1 | - | Unknown |
| AVA Wealth Management LLC CRD: 154751 | - | 0 | 1 | - | Unknown |
| Avaari Financial CRD: 153855 | - | 0 | 2 | - | Unknown |
| Avadim: Financial, Limited Liability Company CRD: 339315 | - | 0 | 2 | - | Unknown |
| Avaii Wealth Management, LLC CRD: 298165 | - | 0 | 2 | - | Unknown |
| Avail Investment Securities, Inc. CRD: 16469 | - | 0 | 0 | A | INACTIVE |
| Avala Global LP CRD: 323053 | - | 0 | 1 | - | Unknown |
| Avalan, LLC CRD: 156109 | - | 0 | 2 | - | Unknown |
| Avalanche VC, LLC CRD: 315458 | - | 0 | 1 | - | Unknown |
| Avalon CRD: 168033 | - | 0 | 2 | - | Unknown |
| Avalon Asset Management Company CRD: 139056 | - | 0 | 0 | - | Unknown |
| Avalon Bioventures Management, LLC CRD: 316674 | - | 0 | 1 | - | Unknown |