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 |
|---|---|---|---|---|---|
| B3 Advisors LLC CRD: 307380 | - | 0 | 0 | - | Unknown |
| B3 Capital Management Inc CRD: 333476 | - | 0 | 0 | - | Unknown |
| B3 Wealth Strategies CRD: 300689 | - | 0 | 1 | - | Unknown |
| B365Invest CRD: 337742 | - | 0 | 1 | - | Unknown |
| B37 Partners, LLC CRD: 283526 | - | 0 | 0 | - | Unknown |
| B37 Ventures CRD: 318814 | - | 0 | 1 | - | Unknown |
| B4 Financial Planning CRD: 115871 | - | 0 | 2 | - | Unknown |
| B6 Capital CRD: 331004 | - | 0 | 1 | - | Unknown |
| BA Capital Management, LLC CRD: 330408 | - | 0 | 1 | - | Unknown |
| BA Financial Corp CRD: 290287 | - | 0 | 0 | - | Unknown |
| BA Global Capital CRD: 316753 | - | 0 | 1 | - | Unknown |
| BA Investment Services, Inc. CRD: 12965 | - | 0 | 0 | A | INACTIVE |
| BA Securities, LLC CRD: 153489 | PA | 0 | 79 | A | Active |
| Baader Helvea Inc. CRD: 132007 | NY | 0 | 2 | A | Active |
| Babb Wealth Advisors LLC CRD: 298347 | - | 0 | 1 | - | Unknown |
| Babbitt & Company, Inc. CRD: 14520 | - | 0 | 0 | A | INACTIVE |
| Babcock & Brown Financial Co. LLC CRD: 14058 | - | 0 | 0 | A | INACTIVE |
| Babcock & Brown Securities LLC CRD: 169440 | CT | 0 | 3 | A | Active |
| Babin Financial Services, Inc. CRD: 117086 | - | 0 | 0 | - | Unknown |
| Babin Wealth Management CRD: 332423 | - | 0 | 1 | - | Unknown |
| Babylon Capital CRD: 288965 | - | 0 | 1 | - | Unknown |
| Babylon Capital Advisory CRD: 315345 | - | 0 | 0 | - | Unknown |
| Babylon Wealth Management LLC CRD: 283309 | - | 0 | 1 | - | Unknown |
| BAC Capital Advisors LLC CRD: 116816 | - | 0 | 1 | - | Unknown |
| Bacap Distributors, LLC CRD: 46088 | - | 2 | 0 | B | INACTIVE |
| Bacchus Capital Management, LLC CRD: 162551 | - | 0 | 1 | - | Unknown |
| Bace Capital Advisors, LLC CRD: 132138 | - | 0 | 0 | A | INACTIVE |
| Bach Option Limited CRD: 281358 | - | 0 | 0 | - | Unknown |
| Bache Capital Management CRD: 113719 | - | 0 | 2 | - | Unknown |
| Bacher & Co Inc CRD: 1140 | - | 0 | 0 | A | INACTIVE |
| Bachmann Capital, LLC CRD: 285060 | - | 0 | 0 | - | Unknown |
| Bachow Securities, Inc. CRD: 17566 | - | 0 | 0 | A | INACTIVE |
| Bachrach Asset Management Inc CRD: 161894 | - | 0 | 0 | - | Unknown |
| Bachus & Stratton Securities, Inc. CRD: 17557 | - | 0 | 0 | A | INACTIVE |
| Back BAY Advisors, LLC CRD: 319026 | - | 0 | 1 | - | Unknown |
| Back BAY Capital, Inc. CRD: 22824 | - | 4 | 0 | C | INACTIVE |
| Back BAY Financial Planning & Investments CRD: 335236 | - | 0 | 1 | - | Unknown |
| Back BAY Life Science Advisory, LLC CRD: 158846 | MA | 0 | 3 | A | Active |
| Back Beach Partners, LLC CRD: 332161 | - | 0 | 1 | - | Unknown |
| Back END Capital Advisors LLC CRD: 305037 | - | 0 | 1 | - | Unknown |
| Back Nine Financial Coaching LLC CRD: 337319 | - | 0 | 1 | - | Unknown |
| Back Office Solutions, LLC CRD: 174927 | - | 0 | 0 | - | Unknown |
| Backbone Planning Partners LLC CRD: 326699 | - | 0 | 4 | - | Unknown |
| Backcast Partners Management LLC CRD: 291785 | - | 0 | 1 | - | Unknown |
| Backcast Partners, LLC CRD: 284191 | - | 0 | 0 | - | Unknown |
| Backend Benchmarking CRD: 288501 | - | 0 | 0 | - | Unknown |
| Backer CRD: 281813 | - | 0 | 1 | - | Unknown |
| Backfuture Ventures, LLC CRD: 327741 | - | 0 | 0 | - | Unknown |
| Background Capital Management, LLC CRD: 304871 | - | 0 | 1 | - | Unknown |
| Backoff Financial Services CRD: 122043 | - | 0 | 0 | - | Unknown |