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 |
|---|---|---|---|---|---|
| TCM BD, LLC CRD: 317259 | - | 0 | 0 | A | INACTIVE |
| TCM Capital, Inc. CRD: 129569 | - | 0 | 0 | A | INACTIVE |
| TCM Global Asset Management Ltd CRD: 319162 | - | 0 | 0 | - | Unknown |
| TCM Investment Advisers CRD: 137543 | - | 0 | 1 | - | Unknown |
| TCM Investment Management CRD: 334175 | - | 0 | 1 | - | Unknown |
| TCM Securities Corporation, Inc. CRD: 17827 | - | 0 | 0 | A | INACTIVE |
| TCM Strategic L.P. CRD: 311603 | - | 0 | 1 | - | Unknown |
| TCM Wealth Advisors CRD: 132646 | - | 0 | 2 | - | Unknown |
| TCM Wealth Management, LLC CRD: 153294 | - | 0 | 0 | - | Unknown |
| TCN Private Wealth Management LLC CRD: 310464 | - | 0 | 1 | - | Unknown |
| TCP Asset Management, LLC CRD: 286037 | - | 0 | 19 | - | Unknown |
| TCP Capital, LLC CRD: 340588 | - | 0 | 1 | - | Unknown |
| TCP Investments LLC CRD: 137073 | - | 0 | 2 | - | Unknown |
| TCP Management LLC CRD: 319179 | - | 0 | 1 | - | Unknown |
| TCP QOF GP LLC CRD: 316207 | - | 0 | 0 | - | Unknown |
| TCP Venture Capital CRD: 172402 | - | 0 | 1 | - | Unknown |
| TCP Wealth Management LLC CRD: 304270 | - | 0 | 0 | - | Unknown |
| TCS Capital Management, LLC CRD: 137257 | - | 0 | 0 | - | Unknown |
| TCS Financial LLC CRD: 149917 | - | 0 | 0 | - | Unknown |
| TCS Financial Services, Inc. CRD: 136148 | - | 0 | 2 | - | Unknown |
| TCT Securities & Derivatives, LLC CRD: 149679 | - | 0 | 0 | A | INACTIVE |
| TCV CRD: 160389 | - | 0 | 1 | - | Unknown |
| TCW Asset Backed Finance Management Company LLC CRD: 332802 | - | 0 | 1 | - | Unknown |
| TCW Asset Management Company LLC CRD: 105742 | - | 0 | 1 | - | Unknown |
| TCW Distressed Management Co, LLC CRD: 284340 | - | 0 | 0 | - | Unknown |
| TCW Funds Distributors LLC CRD: 16670 | CA | 0 | 7 | A | Active |
| TCW Investment Management Company LLC CRD: 106546 | - | 0 | 22 | - | Unknown |
| TCW PT Management Company LLC CRD: 333068 | - | 0 | 1 | - | Unknown |
| TCW Special Situations, LLC CRD: 166286 | - | 0 | 0 | - | Unknown |
| TCW, Inc. CRD: 8272 | - | 0 | 0 | A | INACTIVE |
| TCW-WLA JV Venture LLC CRD: 154760 | - | 0 | 0 | - | Unknown |
| TCW/Scoggin, LLC CRD: 164946 | - | 0 | 0 | - | Unknown |
| Tcwa, LLC CRD: 174963 | - | 0 | 0 | - | Unknown |
| TD Ameritrade Clearing, Inc. CRD: 5633 | - | 55 | 0 | F | INACTIVE |
| TD Ameritrade Investment Management, LLC CRD: 111514 | - | 0 | 0 | - | Unknown |
| TD Ameritrade, Inc. CRD: 7870 | - | 231 | 0 | F | INACTIVE |
| TD Arranged Services LLC CRD: 122529 | NY | 13 | 1 | D | Active |
| TD Asset Management CRD: 110088 | - | 0 | 0 | - | Unknown |
| TD Capital Management LLC CRD: 106125 | - | 0 | 9 | - | Unknown |
| TD Financial Products LLC CRD: 154838 | IL | 0 | 4 | A | Active |
| TD Greystone Asset Management CRD: 283093 | - | 0 | 0 | - | Unknown |
| TD Options LLC CRD: 119855 | - | 10 | 0 | D | INACTIVE |
| TD Prime Services LLC CRD: 1914 | NY | 11 | 3 | C | Active |
| TD Private Client Wealth LLC CRD: 164484 | NY | 3 | 286 | B | Active |
| TD Professional Execution, Inc. CRD: 37554 | - | 6 | 0 | D | INACTIVE |
| TD Securities (USA) LLC CRD: 18476 | NY | 22 | 19 | D | Active |
| TD Waterhouse Capital Markets, Inc. CRD: 116757 | - | 5 | 0 | C | INACTIVE |
| TD Wealth Management Services Inc. CRD: 6940 | - | 8 | 0 | D | INACTIVE |
| TDA Investment Group CRD: 112016 | - | 0 | 1 | - | Unknown |
| TDC Capital Advisors, Inc. CRD: 117769 | - | 0 | 1 | - | Unknown |