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 |
|---|---|---|---|---|---|
| Balerion Space Ventures CRD: 326964 | - | 0 | 1 | - | Unknown |
| Bales Financial Advisors, Inc CRD: 309477 | - | 0 | 2 | - | Unknown |
| Balestra Capital Ltd CRD: 107825 | - | 0 | 0 | - | Unknown |
| Balfour Capital Management CRD: 285590 | - | 0 | 1 | - | Unknown |
| Balfour Investors Inc. CRD: 7382 | - | 5 | 0 | C | INACTIVE |
| Balfour, Mcclaine Inc. CRD: 10484 | - | 0 | 0 | A | INACTIVE |
| Baligian Securities CRD: 16433 | - | 0 | 0 | A | INACTIVE |
| Balis & Zorn Inc. CRD: 7711 | - | 0 | 0 | A | INACTIVE |
| Balis Lewittes & Coleman, Inc. CRD: 33345 | - | 0 | 0 | A | INACTIVE |
| Balkcom & Pearsall Financial Planning, LLC CRD: 116133 | - | 0 | 0 | - | Unknown |
| Ball & Company CRD: 133950 | - | 0 | 2 | - | Unknown |
| Ball Comprehensive Planning LLC CRD: 164494 | - | 0 | 0 | - | Unknown |
| Ball Investments Corporation CRD: 329782 | - | 0 | 1 | - | Unknown |
| Ball Wealth Management LLC CRD: 133583 | - | 0 | 1 | - | Unknown |
| Ballantyne & Co.,Ltd. CRD: 15248 | - | 0 | 0 | A | INACTIVE |
| Ballard Wealth Management LLC CRD: 330614 | - | 0 | 1 | - | Unknown |
| Ballardsville Investment Advisors CRD: 284846 | - | 0 | 1 | - | Unknown |
| Ballast Advisors, LLC CRD: 285991 | - | 0 | 5 | - | Unknown |
| Ballast Asset Management CRD: 311116 | - | 0 | 2 | - | Unknown |
| Ballast Asset Management, LLC CRD: 285703 | - | 0 | 0 | - | Unknown |
| Ballast Capital Advisors, LLC CRD: 282369 | - | 0 | 2 | - | Unknown |
| Ballast Financial Advisors, LLC CRD: 304430 | - | 0 | 4 | - | Unknown |
| Ballast Point Ventures CRD: 162111 | - | 0 | 1 | - | Unknown |
| Ballast Rock Capital LLC CRD: 322170 | SC | 0 | 2 | A | Active |
| Ballast Rock Private Wealth CRD: 322064 | - | 0 | 7 | - | Unknown |
| Ballast Wealth LLC CRD: 318991 | - | 0 | 1 | - | Unknown |
| Ballast, Inc. CRD: 152695 | - | 0 | 1 | - | Unknown |
| Ballaster Financial CRD: 316668 | - | 0 | 1 | - | Unknown |
| Ballenger Wealth Management, Inc. CRD: 168975 | - | 0 | 0 | - | Unknown |
| Ballentine Partners CRD: 152802 | - | 0 | 81 | - | Unknown |
| Ballers and Associates CRD: 174220 | - | 0 | 1 | - | Unknown |
| Ballestas Advisors CRD: 287825 | - | 0 | 1 | - | Unknown |
| Balletta, Martin Henry CRD: 39557 | - | 0 | 0 | A | INACTIVE |
| Balletto Management Company, LLC CRD: 164169 | - | 0 | 0 | - | Unknown |
| Ballew Advisors Inc CRD: 110522 | - | 0 | 1 | - | Unknown |
| Ballew Investments, Inc. CRD: 32028 | - | 0 | 0 | A | INACTIVE |
| Ballheim Financial LLC CRD: 164318 | - | 0 | 1 | - | Unknown |
| Ballina Capital, LLC CRD: 289598 | - | 0 | 2 | - | Unknown |
| Ballinger Financial Services CRD: 128550 | - | 0 | 0 | - | Unknown |
| Ballistic Ventures CRD: 318512 | - | 0 | 1 | - | Unknown |
| Ballpark Securities, LLC CRD: 42061 | - | 0 | 0 | A | INACTIVE |
| Bally Securities, Inc. CRD: 22332 | - | 0 | 0 | A | INACTIVE |
| Ballyrock Investment Advisors LLC CRD: 115324 | - | 0 | 1 | - | Unknown |
| Balmoral Management II L.P. CRD: 164956 | - | 0 | 1 | - | Unknown |
| Balmoral Trading L.L.C. CRD: 43137 | - | 0 | 0 | A | INACTIVE |
| Balopole Investment Management Corporation CRD: 135621 | - | 0 | 2 | - | Unknown |
| Balser Financial Corporation CRD: 148426 | - | 0 | 1 | - | Unknown |
| Balser Wealth Management, LLC CRD: 135788 | - | 0 | 1 | - | Unknown |
| Balson Capital Management CRD: 130822 | - | 0 | 0 | - | Unknown |
| Balter Capital Management LLC CRD: 143880 | - | 0 | 0 | - | Unknown |