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 |
|---|---|---|---|---|---|
| Avitzur Asset Management, LLC CRD: 129946 | - | 0 | 0 | - | Unknown |
| Aviv Asset Management, LLC CRD: 173622 | - | 0 | 0 | - | Unknown |
| Aviva Investors Americas CRD: 163989 | - | 0 | 0 | - | Unknown |
| Aviva Investors Canada Inc. CRD: 333457 | - | 0 | 0 | - | Unknown |
| Avivar Capital, LLC CRD: 215516 | - | 0 | 8 | - | Unknown |
| AVK Partners CRD: 319724 | - | 0 | 1 | - | Unknown |
| AVL Advisory LLC CRD: 337357 | - | 0 | 1 | - | Unknown |
| AVL/Wealthcare, LLC CRD: 116519 | - | 0 | 0 | - | Unknown |
| AVM Capital PTE. Ltd. CRD: 339585 | - | 0 | 0 | - | Unknown |
| AVM, L.P. CRD: 16710 | FL | 0 | 2 | A | Active |
| Avodah Capital Group, LLC CRD: 319775 | - | 0 | 1 | - | Unknown |
| Avon Hill Capital Management, LLC CRD: 329026 | - | 0 | 1 | - | Unknown |
| Avondale Advisors, LLC CRD: 107751 | - | 0 | 0 | - | Unknown |
| Avondale Asset Management CRD: 157705 | - | 0 | 0 | - | Unknown |
| Avondale Conquest, LLC CRD: 122821 | - | 0 | 1 | - | Unknown |
| Avondale Partners, LLC CRD: 46838 | TN | 1 | 2 | B | Active |
| Avonwood Capital LLC CRD: 285289 | - | 0 | 0 | - | Unknown |
| Avora Wealth LLC CRD: 339217 | - | 0 | 1 | - | Unknown |
| Avoro Capital Advisors LLC CRD: 154091 | - | 0 | 1 | - | Unknown |
| Avory & Co. CRD: 284812 | - | 0 | 2 | - | Unknown |
| Avow Wealth Advisors, LLC CRD: 340563 | - | 0 | 1 | - | Unknown |
| AVP Advisors, LLC CRD: 154269 | - | 0 | 0 | - | Unknown |
| AVR Boulder BAY Capital, LLC CRD: 159477 | - | 0 | 0 | - | Unknown |
| Avra Management LLC CRD: 330648 | - | 0 | 1 | - | Unknown |
| Avram Y.KATZ Investment Advisory Services CRD: 128933 | - | 0 | 0 | - | Unknown |
| Avrio Wealth LLC CRD: 337579 | - | 0 | 3 | - | Unknown |
| Avrio Wealth PTE Ltd CRD: 306064 | - | 0 | 1 | - | Unknown |
| Avstone Capital Corporation CRD: 19893 | - | 0 | 0 | A | INACTIVE |
| AVV CRD: 335970 | - | 0 | 1 | - | Unknown |
| AVX Management, LLC CRD: 281115 | - | 0 | 0 | - | Unknown |
| AW Securities CRD: 103747 | CA | 0 | 31 | A | Active |
| Awaken Financial Designs LLC CRD: 339725 | - | 0 | 1 | - | Unknown |
| Awaken Wealth Partners LLC CRD: 341005 | - | 0 | 1 | - | Unknown |
| Award Capital Advisors, LLC CRD: 324436 | - | 0 | 0 | - | Unknown |
| Award Financial Group CRD: 340669 | - | 0 | 1 | - | Unknown |
| Aware Asset Management, Inc. CRD: 286557 | - | 0 | 0 | - | Unknown |
| Aware Financial CRD: 316610 | - | 0 | 0 | - | Unknown |
| Aware Investing, Inc CRD: 144809 | - | 0 | 1 | - | Unknown |
| Aware Partners LLC CRD: 327655 | - | 0 | 0 | - | Unknown |
| Aware Partners LLC CRD: 341761 | - | 0 | 1 | - | Unknown |
| Awareness Wealth Advisors, Inc. CRD: 239786 | - | 0 | 0 | - | Unknown |
| Awen Investment Advisory LLC CRD: 137599 | - | 0 | 0 | - | Unknown |
| Awesome Enablers, L.L.C. CRD: 298755 | - | 0 | 1 | - | Unknown |
| Awesome Management I LLC CRD: 327143 | - | 0 | 0 | - | Unknown |
| Awesome People Advisers, LLC CRD: 304137 | - | 0 | 1 | - | Unknown |
| AWH Capital, L.P. CRD: 146740 | - | 0 | 1 | - | Unknown |
| AWH Financial, LLC CRD: 285183 | - | 0 | 4 | - | Unknown |
| AWM Capital, LLC CRD: 287980 | - | 0 | 23 | - | Unknown |
| AWM Financial Services Inc. CRD: 144351 | - | 0 | 1 | - | Unknown |
| AWM Global Advisors CRD: 159094 | - | 0 | 2 | - | Unknown |