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 |
|---|---|---|---|---|---|
| AWM Investment Company Inc CRD: 110346 | - | 0 | 1 | - | Unknown |
| AWM Services, LLC CRD: 6439 | - | 0 | 0 | A | INACTIVE |
| Awoye Capital, LLC CRD: 312286 | - | 0 | 1 | - | Unknown |
| AX Trading, LLC CRD: 154702 | - | 0 | 0 | A | INACTIVE |
| AXA IM Prime CRD: 333603 | - | 0 | 0 | - | Unknown |
| AXA Investment Managers UK Limited CRD: 319562 | - | 0 | 0 | - | Unknown |
| AXA Investment Managers US Inc CRD: 113608 | - | 0 | 1 | - | Unknown |
| AXA Real Estate Investment Managers US LLC CRD: 167667 | - | 0 | 0 | - | Unknown |
| AXA Reim SGP CRD: 282641 | - | 0 | 0 | - | Unknown |
| AXA Rosenberg Investment Management LLC CRD: 109077 | - | 0 | 0 | - | Unknown |
| Axcel Management a/S CRD: 308113 | - | 0 | 0 | - | Unknown |
| Axcelus Financial Distribution Company CRD: 38383 | PA | 0 | 3 | A | Active |
| Axcent Private Capital, LLC CRD: 286031 | - | 0 | 0 | - | Unknown |
| Axcess Global Investments LLC CRD: 311401 | - | 0 | 0 | - | Unknown |
| Axcessnet, LLC CRD: 130883 | - | 0 | 0 | A | INACTIVE |
| Axcs Investments LLC CRD: 334940 | - | 0 | 1 | - | Unknown |
| Axebrook Capital LLP CRD: 319419 | - | 0 | 0 | - | Unknown |
| Axegine Securities LLC CRD: 291120 | - | 0 | 0 | A | INACTIVE |
| Axelrod Advisers, LLC CRD: 287744 | - | 0 | 0 | - | Unknown |
| Axelrod Associates, Inc. CRD: 17559 | - | 0 | 0 | A | INACTIVE |
| Axelrod Capital Corporation CRD: 13580 | - | 0 | 0 | A | INACTIVE |
| Axes America LLC CRD: 42843 | - | 0 | 0 | A | INACTIVE |
| Axes, LLC CRD: 134036 | - | 0 | 0 | A | INACTIVE |
| Axevil Capital, LLC CRD: 323970 | - | 0 | 1 | - | Unknown |
| Axia Advisory CRD: 107571 | - | 0 | 3 | - | Unknown |
| Axia Asset Management, LLC CRD: 173148 | - | 0 | 1 | - | Unknown |
| Axia Capital Markets, LLC CRD: 172245 | - | 0 | 0 | A | INACTIVE |
| Axia Wealth Management Inc CRD: 155890 | - | 0 | 2 | - | Unknown |
| Axial Capital CRD: 161072 | - | 0 | 0 | - | Unknown |
| Axial Partners CRD: 331811 | - | 0 | 1 | - | Unknown |
| Axial Reade Capital, LP CRD: 301386 | - | 0 | 1 | - | Unknown |
| Axicorp USA, LLC CRD: 167978 | - | 0 | 0 | A | INACTIVE |
| Axient Investment Advisors LLC CRD: 336722 | - | 0 | 10 | - | Unknown |
| Axim Capital LLC CRD: 322142 | - | 0 | 0 | - | Unknown |
| Axim Planning & Wealth CRD: 319618 | - | 0 | 3 | - | Unknown |
| Axio Consulting Group CRD: 306982 | - | 0 | 2 | - | Unknown |
| Axiom Advisors, LLC CRD: 136305 | - | 0 | 2 | - | Unknown |
| Axiom Advisory, LLC CRD: 131540 | - | 0 | 0 | - | Unknown |
| Axiom Alternative Investments CRD: 282155 | - | 0 | 0 | - | Unknown |
| Axiom Asia Private Capital Management Services, LP CRD: 163156 | - | 0 | 0 | - | Unknown |
| Axiom Asset Advisors, LLC CRD: 301307 | - | 0 | 1 | - | Unknown |
| Axiom Asset Management CRD: 145186 | - | 0 | 1 | - | Unknown |
| Axiom Asset Management, LLC CRD: 307538 | - | 0 | 0 | - | Unknown |
| Axiom Capital Management, Inc. CRD: 26580 | NY | 15 | 3 | C | Active |
| Axiom Consulting Group LLC CRD: 294117 | - | 0 | 0 | - | Unknown |
| Axiom CPA CRD: 332300 | - | 0 | 1 | - | Unknown |
| Axiom Equity 2 GP Ltd. CRD: 341278 | - | 0 | 0 | - | Unknown |
| Axiom Equity Capital Partners LLP CRD: 341328 | - | 0 | 0 | - | Unknown |
| Axiom Founders Family Office, Inc. CRD: 313318 | - | 0 | 3 | - | Unknown |
| Axiom Investment Management LLC CRD: 141516 | - | 0 | 1 | - | Unknown |