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 |
|---|---|---|---|---|---|
| Bakalis Financial Inc. CRD: 320860 | - | 0 | 1 | - | Unknown |
| Bakay Capital Management, LLC CRD: 309975 | - | 0 | 1 | - | Unknown |
| Baker & Associates CRD: 155867 | - | 0 | 0 | - | Unknown |
| Baker & Associates Registered Investment Advisors,… CRD: 170951 | - | 0 | 1 | - | Unknown |
| Baker & Co., Incorporated CRD: 5835 | - | 3 | 0 | C | INACTIVE |
| Baker & Company Advisory Group Inc CRD: 123671 | - | 0 | 2 | - | Unknown |
| Baker & Eastlack Capital Management, LLC CRD: 285418 | - | 0 | 0 | - | Unknown |
| Baker & Yoest Investment Advisers, Inc. CRD: 149115 | - | 0 | 0 | - | Unknown |
| Baker Asset Management CRD: 136180 | - | 0 | 0 | - | Unknown |
| Baker Asset Management, LLC CRD: 138257 | - | 0 | 1 | - | Unknown |
| Baker Asset Management, LLC CRD: 289524 | - | 0 | 1 | - | Unknown |
| Baker Brothers Investments CRD: 158149 | - | 0 | 1 | - | Unknown |
| Baker Capital Corp. CRD: 161634 | - | 0 | 0 | - | Unknown |
| Baker Capital Management CRD: 112981 | - | 0 | 1 | - | Unknown |
| Baker Ellis Asset Management LLC CRD: 121802 | - | 0 | 1 | - | Unknown |
| Baker Fund Management Limited CRD: 332915 | - | 0 | 0 | - | Unknown |
| Baker Gallo CRD: 337609 | - | 0 | 1 | - | Unknown |
| Baker Jensen Investment Advisors, LLC CRD: 115086 | - | 0 | 2 | - | Unknown |
| Baker Kevin K CRD: 32606 | - | 0 | 0 | A | INACTIVE |
| Baker Kreft Securities, L.L.C. CRD: 44049 | - | 0 | 0 | A | INACTIVE |
| Baker NYE Securities, L.P. CRD: 29007 | - | 0 | 0 | A | INACTIVE |
| Baker Street Advisors, LLC CRD: 128066 | - | 0 | 1 | - | Unknown |
| Baker Street Asset Management, LLC CRD: 299027 | - | 0 | 1 | - | Unknown |
| Baker Street Capital Management, LLC CRD: 160775 | - | 0 | 0 | - | Unknown |
| Baker Street Investment Partners LLC CRD: 317416 | - | 0 | 2 | - | Unknown |
| Baker Thomas Securities, Inc. CRD: 18295 | - | 0 | 0 | A | INACTIVE |
| Baker Tilly Capital, LLC CRD: 115333 | WI | 1 | 6 | B | Active |
| Baker Tilly Investment Services CRD: 300822 | - | 0 | 0 | - | Unknown |
| Baker Tilly Wealth Management, LLC CRD: 167811 | - | 0 | 26 | - | Unknown |
| Baker Wealth Advisors, LLC. CRD: 311041 | - | 0 | 1 | - | Unknown |
| Baker Wealth Group LLC CRD: 317841 | - | 0 | 1 | - | Unknown |
| Baker, Patrick Michael CRD: 132327 | - | 0 | 0 | A | INACTIVE |
| Baker, Watts & Co., Inc. CRD: 68 | - | 0 | 0 | A | INACTIVE |
| Bakeravenue CRD: 132657 | - | 0 | 17 | - | Unknown |
| Bakerbridge Ventures Fund GP 1, LLC CRD: 330277 | - | 0 | 0 | - | Unknown |
| Bakin, Lawrence Edward CRD: 117261 | - | 0 | 0 | - | Unknown |
| Bakkt Brokerage, LLC CRD: 288227 | - | 1 | 0 | B | INACTIVE |
| Bakos Investment Management CRD: 130351 | - | 0 | 1 | - | Unknown |
| Bala Capital Group, LLC CRD: 290347 | - | 0 | 0 | - | Unknown |
| Balai Lagai Wealth Management CRD: 334602 | - | 0 | 1 | - | Unknown |
| Balaj, Simon CRD: 322934 | - | 0 | 0 | - | Unknown |
| Balance & Discipline CRD: 309627 | - | 0 | 0 | - | Unknown |
| Balance Capital Partners L.P. CRD: 325617 | - | 0 | 1 | - | Unknown |
| Balance Cash Management Inc. CRD: 333867 | - | 0 | 1 | - | Unknown |
| Balance Financial Planning, LLC CRD: 170239 | - | 0 | 2 | - | Unknown |
| Balance Financial Services, Inc. CRD: 116586 | - | 0 | 2 | - | Unknown |
| Balance Investments CRD: 173163 | - | 0 | 1 | - | Unknown |
| Balance Legal Capital LLP CRD: 309176 | - | 0 | 0 | - | Unknown |
| Balance Network Financial Services LLC CRD: 312746 | - | 0 | 0 | - | Unknown |
| Balance Point Capital Advisors, LLC CRD: 264789 | - | 0 | 1 | - | Unknown |