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 |
|---|---|---|---|---|---|
| Backstrom Mccarley Berry & Co., LLC CRD: 124503 | CA | 0 | 2 | A | Active |
| Bacon & Company CRD: 114022 | - | 0 | 1 | - | Unknown |
| Bacon Financial Management, Inc DBA Financial Stra… CRD: 142605 | - | 0 | 0 | - | Unknown |
| Baczkowski & Company CRD: 122327 | - | 0 | 1 | - | Unknown |
| Baddish Shapiro Financial Planning Group CRD: 125619 | - | 0 | 1 | - | Unknown |
| Badge Investment Partners LLC CRD: 167349 | - | 0 | 0 | - | Unknown |
| Badger Creek Advisors, LLC CRD: 319582 | - | 0 | 0 | - | Unknown |
| Badgley Phelps Wealth Managers CRD: 108392 | - | 0 | 0 | - | Unknown |
| Badgley Phelps Wealth Managers CRD: 315440 | - | 0 | 17 | - | Unknown |
| Badlands Capital Management, LLC CRD: 226567 | - | 0 | 0 | - | Unknown |
| Badr Investments TX, LLC CRD: 290194 | - | 0 | 1 | - | Unknown |
| Baeder Neruda Capital Group, Inc. CRD: 17584 | - | 0 | 0 | A | INACTIVE |
| Baer & Company, Incorporated CRD: 13694 | - | 0 | 0 | A | INACTIVE |
| Baer Investment Advisory LLC CRD: 152063 | - | 0 | 4 | - | Unknown |
| Baer Steven RAY CRD: 33292 | - | 0 | 0 | A | INACTIVE |
| Baer Wealth Management CRD: 150555 | - | 0 | 2 | - | Unknown |
| Baeriswyl Financial Planning CRD: 136563 | - | 0 | 0 | - | Unknown |
| BAF Advisors Corp CRD: 323286 | - | 0 | 1 | - | Unknown |
| Baffin Advisors LLC CRD: 151202 | - | 0 | 2 | - | Unknown |
| BAG Securities, L.L.C. CRD: 157420 | - | 0 | 0 | - | Unknown |
| BAG Ventures, LLC CRD: 333079 | - | 0 | 1 | - | Unknown |
| Bagby Wealth Management CRD: 117828 | - | 0 | 1 | - | Unknown |
| Bagley and Company Incorporated CRD: 10754 | - | 0 | 0 | A | INACTIVE |
| Bagley Securities, Inc. CRD: 8643 | - | 0 | 0 | A | INACTIVE |
| Bagnell & Associates, Inc. CRD: 13360 | - | 0 | 0 | A | INACTIVE |
| Bagpiper Trading, LLC CRD: 132791 | - | 0 | 0 | A | INACTIVE |
| Bagwell & Associates CRD: 1143 | - | 0 | 0 | A | INACTIVE |
| Bahia AM Renda Variavel Ltda CRD: 166792 | - | 0 | 0 | - | Unknown |
| Bahl & Gaynor Inc CRD: 106139 | - | 0 | 23 | - | Unknown |
| Bahr Financial Planning Network, Inc. CRD: 154188 | - | 0 | 1 | - | Unknown |
| BAI Capital CRD: 312869 | - | 0 | 0 | - | Unknown |
| BAI Fund Ascend LLC CRD: 322150 | - | 0 | 0 | - | Unknown |
| BAI Fund Manager, Inc. CRD: 329232 | - | 0 | 0 | - | Unknown |
| Baikie & Alcantara Inc. CRD: 1144 | - | 3 | 0 | C | INACTIVE |
| Bail Capital LLC CRD: 300315 | - | 0 | 1 | - | Unknown |
| Bailard Fund Services, Inc. CRD: 21206 | - | 0 | 0 | A | INACTIVE |
| Bailard, Inc. CRD: 110550 | - | 0 | 21 | - | Unknown |
| Bailer Trading LLC CRD: 103901 | - | 0 | 0 | A | INACTIVE |
| Bailey & Associates Investment MGT. and Financial … CRD: 110113 | - | 0 | 1 | - | Unknown |
| Bailey & Associates, Inc. CRD: 7000 | - | 0 | 0 | A | INACTIVE |
| Bailey & Co. Securities, LLC CRD: 302015 | TN | 0 | 5 | A | Active |
| Bailey Capital Management, LLC CRD: 155298 | - | 0 | 0 | - | Unknown |
| Bailey Financial Services CRD: 173452 | - | 0 | 1 | - | Unknown |
| Bailey Investment Strategies LLC CRD: 161618 | - | 0 | 0 | - | Unknown |
| Bailey Management Services, LLC CRD: 323868 | - | 0 | 1 | - | Unknown |
| Bailey Wealth Advisors, Inc. CRD: 169720 | - | 0 | 0 | - | Unknown |
| Bailey, JOE CRD: 306897 | - | 0 | 0 | - | Unknown |
| Bailey, Martin & Appel, Inc. CRD: 15833 | - | 0 | 0 | A | INACTIVE |
| Bailey, Smith & Associates, LLP CRD: 306745 | - | 0 | 0 | - | Unknown |
| Bailiwick Investment Group LLC CRD: 166909 | - | 0 | 0 | - | Unknown |