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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Baillie Gifford & Co Limited
CRD: 304197
 - 0 0 - Unknown
Baillie Gifford Funds Services LLC
CRD: 171147
 - 0 1 A Active
Baillie Gifford International LLC
CRD: 305849
 - 0 1 - Unknown
Baillie Gifford Overseas Ltd
CRD: 110296
 - 0 0 - Unknown
Bain Capital Asset Management, LP
CRD: 183517
 - 0 1 - Unknown
Bain Capital Credit CLO Advisors, LP
CRD: 285892
 - 0 0 - Unknown
Bain Capital Credit, LP
CRD: 134852
 - 0 1 - Unknown
Bain Capital Insurance Solutions, LP
CRD: 305575
 - 0 1 - Unknown
Bain Capital Investments (Europe) Limited
CRD: 298511
 - 0 0 - Unknown
Bain Capital Investments (Ireland) Limited
CRD: 321903
 - 0 0 - Unknown
Bain Capital Investments (Luxembourg) S.A.R.L.
CRD: 309371
 - 0 0 - Unknown
Bain Capital Markets, LLC
CRD: 175456
 MA 0 5 A Active
Bain Capital Partnership Strategies, LP
CRD: 297457
 - 0 1 - Unknown
Bain Capital Private Equity (Europe), LLP
CRD: 167487
 - 0 0 - Unknown
Bain Capital Private Equity, LP
CRD: 145653
 - 0 1 - Unknown
Bain Capital Public Equity, LP
CRD: 145650
 - 0 1 - Unknown
Bain Capital Real Estate, LP
CRD: 291809
 - 0 1 - Unknown
Bain Capital Ventures, LP
CRD: 145652
 - 0 1 - Unknown
Bain Wealth Management Group, LLC
CRD: 281066
 - 0 0 - Unknown
Bainbridge Capital Management, LLC
CRD: 340597
 - 0 1 - Unknown
Bainbridge Capital Securities, Inc.
CRD: 304472
 CA 0 2 A Active
Bainbridge Energy Management LLC
CRD: 282821
 - 0 0 - Unknown
Bainbridge Investment Advisors LLC
CRD: 131040
 - 0 2 - Unknown
Bainbridge Partners LLP
CRD: 325681
 - 0 0 - Unknown
Bainbridge Securities Inc.
CRD: 36757
 - 0 0 A INACTIVE
Bainco International Investors LLC
CRD: 106053
 - 0 0 - Unknown
Baines Creek Capital, LLC
CRD: 174338
 - 0 0 - Unknown
Bains, Tonya R
CRD: 331854
 - 0 2 - Unknown
Baird & Warner Securities, Inc.
CRD: 10755
 - 0 0 A INACTIVE
Baird Asia Partners Management Company I, L.L.C.
CRD: 133116
 - 0 0 - Unknown
Baird Capital Global Fund Management I LP
CRD: 283680
 - 0 0 - Unknown
Baird Capital Global Fund Management II LLC
CRD: 309991
 - 0 0 - Unknown
Baird Capital Management Company, LLC
CRD: 323309
 - 0 1 - Unknown
Baird Capital Partners Asia Management I Limited P…
CRD: 147255
 - 0 0 - Unknown
Baird Capital Partners Europe Limited
CRD: 169015
 - 0 0 - Unknown
Baird Capital Partners Management Company III, LLC
CRD: 108118
 - 0 0 - Unknown
Baird Capital Partners Management Company IV, LLC
CRD: 136678
 - 0 0 - Unknown
Baird Capital Partners Management Company V, LLC
CRD: 148519
 - 0 0 - Unknown
Baird Management Corporation
CRD: 45556
 - 1 0 B INACTIVE
Baird Principal Group Management Company I, LLC
CRD: 269982
 - 0 1 - Unknown
Baird Principal Group Management Company II, LLC
CRD: 292786
 - 0 1 - Unknown
Baird Principal Group Management Company, LLC
CRD: 326646
 - 0 1 - Unknown
Baird Venture Partners Management Company I, L.L.C…
CRD: 109609
 - 0 0 - Unknown
Baird Venture Partners Management Company III, LLC
CRD: 145166
 - 0 1 - Unknown
Baird Venture Partners Management Company IV, LLC
CRD: 168956
 - 0 1 - Unknown
Baird Venture Partners Management Company V, LLC
CRD: 298155
 - 0 1 - Unknown
Baird, Patrick & Co., Inc.
CRD: 1149
 - 19 0 F INACTIVE
Baird/Mark Capital Group, a Florida General Partne…
CRD: 21657
 - 0 0 A INACTIVE
Bais Enterprise
CRD: 172472
 - 0 1 - Unknown
Baja Wealth Advisors LLC
CRD: 289592
 - 0 0 - Unknown
Page 137 of 1601 (80,028 total)
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