Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Dwojeski, John J CRD: 129491 | — | 0 | 1 | A | Unknown |
| DWP CRD: 121841 | — | 0 | 4 | A | Unknown |
| DWP Investments LLC CRD: 127619 | — | 0 | 0 | A | INACTIVE |
| DWS Distributors, Inc. CRD: 37306 | IL | 6 | 13 | C | Active |
| DWS Investment Management Americas, Inc. CRD: 104518 | — | 0 | 1 | A | Unknown |
| DWS Investment S.A. CRD: 300838 | — | 0 | 0 | A | Unknown |
| DWS Investments Australia Limited CRD: 109112 | — | 0 | 0 | A | Unknown |
| DWT Financial CRD: 328377 | — | 0 | 1 | A | Unknown |
| DWV Advisors, LLC CRD: 154148 | — | 0 | 1 | A | Unknown |
| DX Securities, Inc. CRD: 24178 | — | 0 | 0 | A | INACTIVE |
| DXA Investments (USA) LLC CRD: 301353 | — | 0 | 0 | A | Unknown |
| DXD Capital CRD: 329580 | — | 0 | 1 | A | Unknown |
| DXM Management Co, Inc. CRD: 298207 | — | 0 | 0 | A | Unknown |
| Dxmartin Capital LLC CRD: 315306 | — | 0 | 1 | A | Unknown |
| Dyad Capital LLC CRD: 325741 | — | 0 | 3 | A | Unknown |
| Dyad Financial Group CRD: 172428 | — | 0 | 1 | A | Unknown |
| Dyco Programs Inc. CRD: 6160 | — | 0 | 0 | A | INACTIVE |
| DYDX Capital, LLC CRD: 286652 | — | 0 | 1 | A | Unknown |
| DYE Family Office CRD: 326761 | — | 0 | 1 | A | Unknown |
| Dyer & Company, L.L.C. CRD: 298855 | — | 0 | 1 | A | Unknown |
| Dyer Financial Advisory CRD: 123262 | — | 0 | 1 | A | Unknown |
| Dyer JR, John Antony CRD: 32705 | — | 0 | 0 | A | INACTIVE |
| Dymon Asia Capital (Difc) Limited CRD: 334222 | — | 0 | 0 | A | Unknown |
| Dymon Asia Capital (UK) LLP CRD: 173074 | — | 0 | 0 | A | Unknown |
| Dynama Capital CRD: 162758 | — | 0 | 0 | A | Unknown |
| Dynamic CRD: 151367 | — | 0 | 95 | A | Unknown |
| Dynamic Hedge, LLC CRD: 123468 | — | 0 | 0 | A | INACTIVE |
| Dynamic Shares CRD: 297898 | — | 0 | 0 | A | Unknown |
| Dynamic Wealth Group CRD: 326607 | — | 0 | 1 | A | Unknown |
| Dynamic Wealth LLC CRD: 333203 | — | 0 | 2 | A | Unknown |
| Dynamic Yields Advisory Group CRD: 175397 | — | 0 | 0 | A | Unknown |
| Dynamic Yields Capital Market CRD: 279035 | — | 0 | 0 | A | INACTIVE |
| Dynasty Family Office CRD: 288431 | — | 0 | 1 | A | Unknown |
| Dyno Advisors LLC CRD: 317864 | — | 0 | 0 | A | Unknown |
| Dyrek, John Edward CRD: 154641 | — | 0 | 0 | A | Unknown |
| Dzaner & Co. LLC CRD: 166141 | — | 0 | 0 | A | Unknown |
| DZL Options, Inc. CRD: 119065 | — | 0 | 0 | A | INACTIVE |
| E & G Advisors, LLC CRD: 130550 | — | 0 | 1 | A | Unknown |
| E & G Investments, LP CRD: 132651 | — | 0 | 0 | A | INACTIVE |
| E Capital Management CRD: 117024 | — | 0 | 0 | A | Unknown |
| E J Financial Corp. CRD: 153688 | — | 0 | 1 | A | Unknown |
| E O' M Securities Inc. CRD: 6827 | — | 0 | 0 | A | INACTIVE |
| E Street Access CRD: 100320 | — | 6 | 0 | D | INACTIVE |
| E T D Securities CRD: 39799 | — | 0 | 0 | A | INACTIVE |
| E&E Advisors L.P. CRD: 111300 | — | 0 | 1 | A | Unknown |
| E&J Securities Corp. CRD: 37452 | NY | 0 | 1 | A | Active |
| E*Offering CRD: 36717 | — | 2 | 0 | B | INACTIVE |
| E*Trade Capital Inc. CRD: 38800 | — | 0 | 0 | A | INACTIVE |
| E*Trade Futures LLC CRD: 145562 | — | 3 | 0 | C | INACTIVE |
| E-Invest, Inc. CRD: 18298 | — | 3 | 0 | C | INACTIVE |