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 |
|---|---|---|---|---|---|
| Axiom Investors CRD: 109605 | - | 0 | 1 | - | Unknown |
| Axiom Partners CRD: 334138 | - | 0 | 1 | - | Unknown |
| Axiom Private Wealth, LLC CRD: 307388 | - | 0 | 1 | - | Unknown |
| Axiom Quantitative Management, LLC CRD: 339162 | - | 0 | 1 | - | Unknown |
| Axiom Value Wealth Management LLC CRD: 334047 | - | 0 | 1 | - | Unknown |
| Axiom Venture Advisors Inc. CRD: 160353 | - | 0 | 0 | - | Unknown |
| Axiom Wealth Strategies, LLC CRD: 313124 | - | 0 | 1 | - | Unknown |
| Axiom-ICF Capital, Inc. CRD: 23618 | - | 0 | 0 | A | INACTIVE |
| Axiomada, LP CRD: 297913 | - | 0 | 0 | - | Unknown |
| Axiomqed LLC CRD: 337869 | - | 0 | 1 | - | Unknown |
| Axion Capital Markets, LLC CRD: 340326 | - | 0 | 1 | - | Unknown |
| Axion Financial Group LLC CRD: 154991 | - | 0 | 1 | - | Unknown |
| Axion Wealth Advisors CRD: 325396 | - | 0 | 2 | - | Unknown |
| Axion Wealth LLC CRD: 289021 | - | 0 | 0 | - | Unknown |
| Axis Capital USA, LLC CRD: 293368 | NY | 0 | 2 | A | Active |
| Axis Financial, LLC CRD: 137720 | - | 0 | 2 | - | Unknown |
| Axis Point Capital CRD: 311159 | - | 0 | 1 | - | Unknown |
| Axis Thought Capital, LLC CRD: 147507 | - | 0 | 0 | A | INACTIVE |
| Axis Trading Corporation CRD: 36311 | - | 0 | 0 | A | INACTIVE |
| Axis Wealth Partners, LLC CRD: 167122 | - | 0 | 6 | - | Unknown |
| Axium Capital PTE. Ltd. CRD: 337522 | - | 0 | 0 | - | Unknown |
| Axium Infrastructure Inc. CRD: 286454 | - | 0 | 0 | - | Unknown |
| Axium Infrastructure US Inc. CRD: 168164 | - | 0 | 1 | - | Unknown |
| Axius Advisors LLC CRD: 330006 | - | 0 | 1 | - | Unknown |
| Axivon Exchange Ltd CRD: 340961 | - | 0 | 1 | - | Unknown |
| Axom Partners LLC CRD: 328894 | UT | 0 | 3 | A | Active |
| Axon Capital LP CRD: 158281 | - | 0 | 1 | - | Unknown |
| Axon Capital Management CRD: 334888 | - | 0 | 1 | - | Unknown |
| Axon Consulting Inc CRD: 269905 | - | 0 | 1 | - | Unknown |
| Axon Securities Group, P.A. CRD: 44828 | - | 0 | 0 | A | INACTIVE |
| Axonic Capital LLC CRD: 159518 | - | 0 | 1 | - | Unknown |
| Axos Clearing LLC CRD: 117176 | NE | 14 | 4 | C | Active |
| Axos Invest LLC CRD: 172393 | NV | 1 | 5 | B | Active |
| Axos Invest, Inc CRD: 150953 | - | 0 | 13 | - | Unknown |
| Axos Securities RIA, LLC CRD: 300096 | - | 0 | 0 | - | Unknown |
| AXQ Capital, LP CRD: 318863 | - | 0 | 1 | - | Unknown |
| AXS Capital, LLC CRD: 310292 | - | 0 | 1 | - | Unknown |
| AXS Investments LLC CRD: 305714 | - | 0 | 1 | - | Unknown |
| Axxcess Wealth Management, LLC CRD: 164081 | - | 0 | 45 | - | Unknown |
| Axxes Advisors I LLC CRD: 332460 | - | 0 | 1 | - | Unknown |
| Axxes Advisors LLC CRD: 318039 | - | 0 | 1 | - | Unknown |
| Axxes Direct Advisors LLC CRD: 327473 | - | 0 | 0 | - | Unknown |
| Axxets WM CRD: 340858 | - | 0 | 1 | - | Unknown |
| Axxon Group CRD: 161534 | - | 0 | 0 | - | Unknown |
| Axxus Wealth Advisors, LLC CRD: 158800 | - | 0 | 0 | - | Unknown |
| Axys Capital Management CRD: 167434 | - | 0 | 0 | - | Unknown |
| AYA Capital, LLC CRD: 283044 | - | 0 | 0 | - | Unknown |
| Ayal Capital Advisors Limited CRD: 169853 | - | 0 | 0 | - | Unknown |
| Aydt Investment Management, Inc. CRD: 116965 | - | 0 | 2 | - | Unknown |
| Ayer Capital Management CRD: 157867 | - | 0 | 0 | - | Unknown |