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 |
|---|---|---|---|---|---|
| 5TH Street Advisors, LLC CRD: 140165 | - | 0 | 2 | - | Unknown |
| 5THN Financial LLC CRD: 286020 | - | 0 | 1 | - | Unknown |
| 5W Capital Advisors LLC CRD: 283086 | - | 0 | 0 | - | Unknown |
| 5Y Capital Management Limited CRD: 299614 | - | 0 | 0 | - | Unknown |
| 6 Dimensions Capital CRD: 292273 | - | 0 | 0 | - | Unknown |
| 6 Meridian LLC CRD: 283845 | - | 0 | 0 | - | Unknown |
| 60 West Advisors, LLC CRD: 286663 | - | 0 | 0 | - | Unknown |
| 603 Financial Advisors, LLC CRD: 324422 | - | 0 | 1 | - | Unknown |
| 606 Wealth Management, LLC CRD: 304439 | - | 0 | 0 | - | Unknown |
| 618 Longevity Partners, LLC CRD: 307392 | - | 0 | 1 | - | Unknown |
| 626 Financial, LLC CRD: 306474 | - | 0 | 1 | - | Unknown |
| 640 Oxford Management Company, LLC CRD: 323678 | - | 0 | 1 | - | Unknown |
| 640 Oxford Ventures-Bbba LLC CRD: 320645 | - | 0 | 1 | - | Unknown |
| 645 Ventures Management, LLC CRD: 292416 | - | 0 | 1 | - | Unknown |
| 65 and Sunny! Registered Investment Advisors, LLC CRD: 175256 | - | 0 | 2 | - | Unknown |
| 6529 Capital LLC CRD: 321928 | - | 0 | 1 | - | Unknown |
| 654 Advisors, LLC CRD: 140644 | - | 0 | 0 | - | Unknown |
| 654 Company CRD: 13965 | - | 0 | 0 | A | INACTIVE |
| 67 Capital Management, LLC CRD: 339144 | - | 0 | 1 | - | Unknown |
| 68 King William Street, London, United Kingdom, EC… CRD: 293173 | - | 0 | 0 | - | Unknown |
| 6800 Capital Securities, Inc. CRD: 42100 | - | 0 | 0 | A | INACTIVE |
| 6800 Capital, L.L.C. CRD: 136838 | - | 0 | 0 | - | Unknown |
| 683 Capital Management, LLC CRD: 156181 | - | 0 | 1 | - | Unknown |
| 6Beacon Capital, LP CRD: 318693 | - | 0 | 0 | - | Unknown |
| 6ELM Capital CRD: 300138 | - | 0 | 0 | - | Unknown |
| 6L Asset Management, LLC CRD: 167074 | - | 0 | 0 | - | Unknown |
| 6TH Avenue Partners, LLC CRD: 315054 | - | 0 | 1 | - | Unknown |
| 6TH MAN Ventures, LLC CRD: 318649 | - | 0 | 1 | - | Unknown |
| 6TH Street Advisors, LLC CRD: 156623 | - | 0 | 1 | - | Unknown |
| 6|21 Private Wealth CRD: 335433 | - | 0 | 3 | - | Unknown |
| 7 Arches Capital LLC CRD: 324794 | - | 0 | 0 | - | Unknown |
| 7 Main Capital LLC CRD: 337389 | - | 0 | 1 | - | Unknown |
| 7 North Finance CRD: 269956 | - | 0 | 0 | - | Unknown |
| 7 Saturdays Financial CRD: 319340 | - | 0 | 1 | - | Unknown |
| 7 Star Investment Advisors CRD: 337938 | - | 0 | 1 | - | Unknown |
| 7 Streets Financial, LLC CRD: 282577 | - | 0 | 1 | - | Unknown |
| 7 Summits Investment Management, LLC CRD: 331963 | - | 0 | 1 | - | Unknown |
| 7-13 Capital LLC CRD: 169016 | - | 0 | 0 | - | Unknown |
| 71 West Capital Partners CRD: 338756 | - | 0 | 2 | - | Unknown |
| 710 Consulting Group, LLC CRD: 321201 | - | 0 | 1 | - | Unknown |
| 724 Asset Management, LLC CRD: 318169 | - | 0 | 1 | - | Unknown |
| 724 Capital, LLC CRD: 318170 | - | 0 | 11 | - | Unknown |
| 7258 Wealth Management, Inc. CRD: 297110 | - | 0 | 0 | - | Unknown |
| 72Capital, LLC CRD: 335758 | - | 0 | 2 | - | Unknown |
| 7300 Wealth Management, LLC. CRD: 169536 | - | 0 | 0 | - | Unknown |
| 74 Capital Management LP CRD: 297299 | - | 0 | 0 | - | Unknown |
| 747 Capital, LLC CRD: 164742 | - | 0 | 1 | - | Unknown |
| 755 Financial CRD: 342558 | - | 0 | 1 | - | Unknown |
| 77 Financial Group CRD: 312367 | - | 0 | 1 | - | Unknown |
| 776 Management, LLC CRD: 311918 | - | 0 | 1 | - | Unknown |