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 |
|---|---|---|---|---|---|
| Ayers & Associates, P.C. CRD: 127417 | - | 0 | 1 | - | Unknown |
| Ayin Capital Management LP CRD: 283985 | - | 0 | 0 | - | Unknown |
| Ayla Capital CRD: 309102 | - | 0 | 1 | - | Unknown |
| AYM Capital, LLC CRD: 163556 | - | 0 | 1 | - | Unknown |
| Ayoma Papendieck Investment Advisers CRD: 169466 | - | 0 | 0 | - | Unknown |
| Ayres Financial Advisors, LLC CRD: 112106 | - | 0 | 0 | - | Unknown |
| Ayrton Capital LLC CRD: 286298 | - | 0 | 1 | - | Unknown |
| Ayurasset LLC CRD: 339114 | - | 0 | 2 | - | Unknown |
| AZ Apice Capital Management LLC CRD: 281973 | - | 0 | 0 | - | Unknown |
| AZ Legacy Wealth LLC CRD: 308906 | - | 0 | 1 | - | Unknown |
| AZ Wealth Strategies CRD: 160861 | - | 0 | 0 | - | Unknown |
| AZ-VC, LLC CRD: 317059 | - | 0 | 1 | - | Unknown |
| AZA Capital Management CRD: 109784 | - | 0 | 5 | - | Unknown |
| Azalea Capital CRD: 164102 | - | 0 | 2 | - | Unknown |
| Azalea Wealth Management LLC CRD: 307567 | - | 0 | 1 | - | Unknown |
| Azarias Capital Management, L.P. CRD: 174466 | - | 0 | 3 | - | Unknown |
| AZG Capital CRD: 154117 | - | 0 | 0 | - | Unknown |
| Azimut Investment Advisors LLC CRD: 134626 | - | 0 | 1 | - | Unknown |
| Azimuth Capital Management V Ltd. CRD: 325225 | - | 0 | 0 | - | Unknown |
| Azimuth Capital, LLC CRD: 133354 | - | 0 | 0 | A | INACTIVE |
| Azimuth Energy Partners GP III LP CRD: 163399 | - | 0 | 0 | - | Unknown |
| Azimuth Planning Group, LLC CRD: 338702 | - | 0 | 1 | - | Unknown |
| Azimuth Securities CRD: 22438 | - | 0 | 0 | A | INACTIVE |
| Azimuth Ventures Management Company, LLC CRD: 172316 | - | 0 | 0 | - | Unknown |
| Azimuth Wealth Advisors CRD: 290050 | - | 0 | 1 | - | Unknown |
| Azini Capital CRD: 159108 | - | 0 | 0 | - | Unknown |
| Azlin Consultants PVT. Ltd. CRD: 284296 | - | 0 | 0 | - | Unknown |
| AZM Financial CRD: 288455 | - | 0 | 1 | - | Unknown |
| Aznar Financial Advisors, LLC CRD: 121388 | - | 0 | 0 | - | Unknown |
| Azoff, Richard CRD: 286602 | - | 0 | 0 | - | Unknown |
| Azora Capital LP CRD: 287621 | - | 0 | 1 | - | Unknown |
| Azoria Capital, Inc. CRD: 334835 | - | 0 | 1 | - | Unknown |
| Azroc Securities, Inc. CRD: 113679 | - | 0 | 0 | A | INACTIVE |
| Aztec Capital Corporation CRD: 34077 | - | 0 | 0 | A | INACTIVE |
| Aztec Capital LLC CRD: 167113 | - | 0 | 1 | - | Unknown |
| Aztec Financial Group, LLC CRD: 296987 | - | 0 | 1 | - | Unknown |
| Aztec Securities, Inc. CRD: 23420 | - | 0 | 0 | A | INACTIVE |
| Aztec Securities, LLC CRD: 104349 | - | 0 | 0 | A | INACTIVE |
| Aztlan Equity Management, LLC CRD: 286360 | - | 0 | 1 | - | Unknown |
| Azul Financial LLC CRD: 291306 | - | 0 | 0 | - | Unknown |
| Azul Financial LLC CRD: 284724 | - | 0 | 0 | - | Unknown |
| Azul Financial LLC CRD: 304933 | - | 0 | 0 | - | Unknown |
| Azul Ocean Ventures Fund GP LLC CRD: 314760 | - | 0 | 0 | - | Unknown |
| Azul Private Wealth, LLC CRD: 341915 | - | 0 | 1 | - | Unknown |
| Azura Partners US LLC CRD: 312886 | - | 0 | 0 | - | Unknown |
| Azura Partners US LLC CRD: 327986 | - | 0 | 3 | - | Unknown |
| Azure Capital Partners LP CRD: 112536 | - | 0 | 0 | - | Unknown |
| Azure Financial Advisors LLC CRD: 149611 | - | 0 | 1 | - | Unknown |
| Azure SKY Financial Life Planning, LLC CRD: 310867 | - | 0 | 1 | - | Unknown |
| Azure Wealth Management CRD: 172677 | - | 0 | 1 | - | Unknown |