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 |
|---|---|---|---|---|---|
| Tahan Capital Management PTE. Ltd. CRD: 161802 | - | 0 | 0 | - | Unknown |
| Taher Financial Planning CRD: 288081 | - | 0 | 1 | - | Unknown |
| Tahoe Capital Group LLC CRD: 339696 | NV | 0 | 2 | A | Active |
| Tahoe Specialists LLC CRD: 113221 | - | 1 | 0 | B | INACTIVE |
| Tahoe Trading, L.P. CRD: 113183 | - | 2 | 0 | B | INACTIVE |
| Tahoe Trading, LLC CRD: 45549 | - | 0 | 0 | A | INACTIVE |
| Tahoma Advisors CRD: 167009 | - | 0 | 0 | - | Unknown |
| TAI Fook Securities (U.S.) Inc. CRD: 10301 | - | 0 | 0 | A | INACTIVE |
| TAI Securities Corp. CRD: 16530 | - | 0 | 0 | A | INACTIVE |
| TAI YU Securities USA, Inc. CRD: 30601 | - | 0 | 0 | A | INACTIVE |
| Taibay Wealth Management LLC CRD: 316967 | - | 0 | 1 | - | Unknown |
| Taiber, Kosmala & Associates, LLC CRD: 161703 | - | 0 | 2 | - | Unknown |
| Taiga Fund Management as CRD: 297672 | - | 0 | 0 | - | Unknown |
| Taiga Trading CRD: 308971 | - | 0 | 0 | - | Unknown |
| Taihill Venture Series III GP LLC CRD: 323160 | - | 0 | 0 | - | Unknown |
| Taika Capital CRD: 315803 | - | 0 | 0 | - | Unknown |
| Taiko CRD: 287792 | - | 0 | 1 | - | Unknown |
| Taiko Private Wealth CRD: 329909 | - | 0 | 1 | - | Unknown |
| Tailored Financial Planning CRD: 327852 | - | 0 | 1 | - | Unknown |
| Tailored TAX and Wealth CRD: 337265 | - | 0 | 1 | - | Unknown |
| Tailored Wealth Management CRD: 159640 | - | 0 | 0 | - | Unknown |
| Tailored Wealth Solutions CRD: 340266 | - | 0 | 1 | - | Unknown |
| Tailwater Capital CRD: 167240 | - | 0 | 1 | - | Unknown |
| Tailwind Advisors CRD: 150081 | - | 0 | 1 | - | Unknown |
| Tailwind Associates, Inc. CRD: 14271 | - | 0 | 0 | A | INACTIVE |
| Tailwind Capital CRD: 156562 | - | 0 | 1 | - | Unknown |
| Tailwind Financial LLC CRD: 333725 | - | 0 | 3 | - | Unknown |
| Tailwind Financial Planning LLC CRD: 309117 | - | 0 | 1 | - | Unknown |
| Tailwind Futures CRD: 341046 | - | 0 | 1 | - | Unknown |
| Tailwind Wealth Management, LLC CRD: 289874 | - | 0 | 1 | - | Unknown |
| Tailwinds Research Group CRD: 297209 | - | 0 | 0 | - | Unknown |
| Tailwinds Wealth, LLC CRD: 322924 | - | 0 | 1 | - | Unknown |
| Tairen Capital Limited CRD: 300911 | - | 0 | 0 | - | Unknown |
| Taiwania Capital Management USA, Inc. CRD: 293352 | - | 0 | 1 | - | Unknown |
| Taiyo Pacific Partners L.P. CRD: 160930 | - | 0 | 1 | - | Unknown |
| Taizen Capital PTE. Ltd. CRD: 171111 | - | 0 | 0 | - | Unknown |
| TAJ Global Equities, Inc. CRD: 31768 | - | 0 | 0 | A | INACTIVE |
| TAJ Securities CRD: 13885 | - | 0 | 0 | A | INACTIVE |
| TAK Advisory CRD: 168814 | - | 0 | 2 | - | Unknown |
| Takacs, Gary Christopher CRD: 135930 | - | 0 | 0 | - | Unknown |
| Takayoshi Wealth Management LLC CRD: 340514 | - | 0 | 2 | - | Unknown |
| Take Action Financial Planning CRD: 167654 | - | 0 | 0 | - | Unknown |
| Take Charge Financial CRD: 16724 | - | 9 | 0 | D | INACTIVE |
| Takeoff Capital LLC CRD: 324491 | - | 0 | 1 | - | Unknown |
| Takumi Capital LLC CRD: 284504 | - | 0 | 0 | - | Unknown |
| Takwealth CRD: 284316 | - | 0 | 0 | - | Unknown |
| Talamod Asset Management CRD: 148037 | - | 0 | 0 | - | Unknown |
| Talanton Advisors, LLC CRD: 299779 | - | 0 | 1 | - | Unknown |
| Talanton Capital Management, LLC CRD: 299126 | - | 0 | 1 | - | Unknown |
| Talara Capital Management, LLC CRD: 158866 | - | 0 | 0 | - | Unknown |