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 |
|---|---|---|---|---|---|
| T.M. Murphy Investment Management, Inc. CRD: 120132 | - | 0 | 1 | - | Unknown |
| T.M. Wealth Management CRD: 287965 | - | 0 | 1 | - | Unknown |
| T.O. Richardson Company, Inc. CRD: 3513 | - | 0 | 0 | A | INACTIVE |
| T.O.S. Advisors, LLC CRD: 165004 | - | 0 | 0 | - | Unknown |
| T.R. Winston & Company, LLC CRD: 10571 | NJ | 10 | 5 | B | Active |
| T.R.U.E. Coastal Capital, LLC CRD: 281556 | - | 0 | 1 | - | Unknown |
| T.ROWE Price Hong Kong Limited CRD: 155827 | - | 0 | 0 | - | Unknown |
| T.ROWE Price Investment Management, Inc. CRD: 314590 | - | 0 | 1 | - | Unknown |
| T.RX Capital CRD: 325895 | - | 0 | 1 | - | Unknown |
| T.S. Financial Planning CRD: 334585 | - | 0 | 1 | - | Unknown |
| T.S. Phillips Investments, Inc. CRD: 124348 | - | 1 | 0 | B | INACTIVE |
| T.T.G. Financial, Inc. CRD: 129004 | - | 0 | 1 | - | Unknown |
| T.W. Perkinson Securities, Inc. CRD: 13166 | - | 0 | 0 | A | INACTIVE |
| T/R Financial Management Group, LLC CRD: 117102 | - | 0 | 2 | - | Unknown |
| T11 Capital Management CRD: 166939 | - | 0 | 0 | - | Unknown |
| T2 Asset Management, LLC CRD: 167714 | - | 0 | 2 | - | Unknown |
| T2 Capital Management, LLC CRD: 164062 | - | 0 | 0 | - | Unknown |
| T2AM, LLC CRD: 135733 | - | 0 | 0 | - | Unknown |
| T3 Asset Management, LLC CRD: 174454 | - | 0 | 0 | - | Unknown |
| T3 Equity Labs LLC CRD: 137347 | - | 0 | 0 | - | Unknown |
| T3 Trading Group, LLC CRD: 154431 | NY | 3 | 5 | C | Active |
| T4G Fund Management LLC CRD: 330021 | - | 0 | 0 | - | Unknown |
| T4G Management LLC CRD: 335567 | - | 0 | 1 | - | Unknown |
| TA Associates CRD: 156699 | - | 0 | 2 | - | Unknown |
| TA Capital Management, LLC CRD: 169326 | - | 0 | 1 | - | Unknown |
| TA Realty LLC CRD: 108586 | - | 0 | 1 | - | Unknown |
| TA-Check Financial Ltd. CRD: 122953 | - | 0 | 4 | - | Unknown |
| Tabar Gaul LLC CRD: 169221 | - | 0 | 2 | - | Unknown |
| Taber Asset Management L.L.C. CRD: 115849 | - | 0 | 3 | - | Unknown |
| Tabernacle Equity Management LLC CRD: 336248 | - | 0 | 1 | - | Unknown |
| Table Rock Financial Planning CRD: 149401 | - | 0 | 1 | - | Unknown |
| Table Rock GP LLC CRD: 323164 | - | 0 | 1 | - | Unknown |
| Tableaux Wealth CRD: 319355 | - | 0 | 3 | - | Unknown |
| Tabor Asset Management, LP CRD: 304666 | - | 0 | 1 | - | Unknown |
| Tabr Capital Management, LLC CRD: 129959 | - | 0 | 2 | - | Unknown |
| Tabula Rasa Advisors, LLC CRD: 298184 | - | 0 | 2 | - | Unknown |
| Tabula Rasa Capital CRD: 310486 | - | 0 | 0 | - | Unknown |
| TAC Partners, Inc. CRD: 158249 | - | 0 | 1 | - | Unknown |
| Taca Capital, LLC CRD: 132462 | - | 0 | 0 | - | Unknown |
| Tacam Partners LP CRD: 181516 | - | 0 | 0 | - | Unknown |
| Tachles VC Management, LLC CRD: 331713 | - | 0 | 1 | - | Unknown |
| Tachyon Capital Management, LLC CRD: 283229 | - | 0 | 0 | - | Unknown |
| Tachyon Entier Capital CRD: 343249 | - | 0 | 1 | - | Unknown |
| Tack Wealth CRD: 338489 | - | 0 | 1 | - | Unknown |
| Tackett Wealth Management, LLC CRD: 149056 | - | 0 | 2 | - | Unknown |
| Tacoma Investment Group CRD: 116741 | - | 0 | 2 | - | Unknown |
| Tacoma Securities, Inc. CRD: 7127 | - | 0 | 0 | A | INACTIVE |
| Taconic Advisors CRD: 123961 | - | 0 | 3 | - | Unknown |
| Taconic Capital Advisors LP CRD: 137295 | - | 0 | 1 | - | Unknown |
| Taconic Capital Advisors UK LLP CRD: 137291 | - | 0 | 0 | - | Unknown |