Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Pinebridge Securities LLC CRD: 5967 | NY | 0 | 2 | A | Active |
| Pinnacle Investments, LLC CRD: 142910 | NY | 4 | 33 | B | Active |
| PJT Partners LP CRD: 171058 | NY | 1 | 25 | B | Active |
| PKS Securities, Inc. CRD: 101600 | NY | 0 | 3 | A | Active |
| Planned Financial Programs, Inc. CRD: 3049 | NY | 1 | 2 | B | Active |
| Planner Securities LLC CRD: 36866 | NY | 2 | 4 | B | Active |
| Pluris Capital Group, Inc. CRD: 30811 | NY | 3 | 2 | B | Active |
| Portum Capital LLC CRD: 300440 | NY | 0 | 3 | A | Active |
| Pragma LLC CRD: 136453 | NY | 0 | 1 | A | Active |
| PRE-IPO Street Inc. CRD: 173426 | NY | 1 | 2 | B | Active |
| Pretium Securities, LLC CRD: 321828 | NY | 0 | 3 | A | Active |
| Prime Dealer Services Corp. CRD: 36142 | NY | 1 | 1 | B | Active |
| Prime Decision Consulting LLC CRD: 290948 | NY | 0 | 2 | A | Active |
| Prime Executions, Inc. CRD: 32889 | NY | 2 | 2 | B | Active |
| Prime Number Capital, LLC CRD: 297029 | NY | 1 | 3 | B | Active |
| Prism Financial Products LP CRD: 306255 | NY | 0 | 4 | A | Active |
| Private Brokers, LLC CRD: 165758 | NY | 0 | 2 | A | Active |
| Profinancial, Inc. CRD: 15345 | NY | 1 | 1 | B | Active |
| Profor Advisors CRD: 136084 | NY | 0 | 2 | A | Active |
| Prometheum ATS CRD: 311636 | NY | 0 | 2 | A | Active |
| Prometheum Ember Capital CRD: 312784 | NY | 0 | 3 | A | Active |
| Proof Services LLC CRD: 306369 | NY | 0 | 2 | A | Active |
| Provable Markets LLC CRD: 312003 | NY | 0 | 2 | A | Active |
| Puma Capital, LLC CRD: 146744 | NY | 7 | 4 | B | Active |
| Pundion LLC CRD: 156169 | NY | 3 | 2 | B | Active |
| Purestream, LLC CRD: 306750 | NY | 0 | 2 | A | Active |
| Purshe Kaplan Sterling Investments CRD: 35747 | NY | 13 | 623 | B | Active |
| Pyramid Funds Corporation CRD: 3110 | NY | 1 | 2 | B | Active |
| Quantfury Trading USA LLC CRD: 318437 | NY | 0 | 1 | A | Active |
| Quantitative Brokers, LLC CRD: 169876 | NY | 0 | 2 | A | Active |
| Quattro M Securities Inc. CRD: 39289 | NY | 3 | 1 | C | Active |
| Quilvest Capital Partners Securities LLC CRD: 286380 | NY | 0 | 2 | A | Active |
| Quinbrook Capital Partners LLC CRD: 313779 | NY | 0 | 3 | A | Active |
| Quint Capital Corporation CRD: 26586 | NY | 1 | 8 | B | Active |
| R. F. Lafferty & Co., Inc. CRD: 2498 | NY | 7 | 20 | B | Active |
| Rabo Securities USA, Inc. CRD: 122657 | NY | 0 | 6 | A | Active |
| Rainbridge Securities LLC CRD: 334916 | NY | 0 | 9 | A | Active |
| Raine Securities LLC CRD: 137873 | NY | 0 | 4 | A | Active |
| RB International Markets (USA) LLC CRD: 156031 | NY | 0 | 2 | A | Active |
| RBC Capital Markets, LLC CRD: 31194 | NY | 490 | 4,053 | C | Active |
| Reactive Markets Technologies LLC CRD: 336488 | NY | 0 | 2 | A | Active |
| Redbird BD LLC CRD: 297239 | NY | 0 | 4 | A | Active |
| Rede Partners (Americas) LLC CRD: 299631 | NY | 0 | 3 | A | Active |
| Redi Global Technologies LLC CRD: 41924 | NY | 7 | 5 | B | Active |
| Reid & Rudiger LLC CRD: 47263 | NY | 5 | 3 | B | Active |
| Remsenburg Securities, LLC CRD: 322870 | NY | 0 | 1 | A | Active |
| Renaissance Institutional Management LLC CRD: 136113 | NY | 3 | 2 | B | Active |
| Rencap Securities, Inc. CRD: 37821 | NY | 3 | 4 | B | Active |
| Republic Capital Group CRD: 334963 | NY | 0 | 4 | A | Active |
| Reva Capital Markets LLC CRD: 105791 | NY | 0 | 3 | A | Active |