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 |
|---|---|---|---|---|---|
| THE ART and Science of Successful Planning CRD: 114523 | - | 0 | 1 | - | Unknown |
| THE ART of Finance LLC CRD: 281950 | - | 0 | 1 | - | Unknown |
| THE Artemis Fund CRD: 307723 | - | 0 | 1 | - | Unknown |
| THE Arter Company Incorporated CRD: 10426 | - | 0 | 0 | A | INACTIVE |
| THE Ascent Group, LLC CRD: 314424 | - | 0 | 14 | - | Unknown |
| THE Askey Securities Company, Inc. CRD: 13207 | - | 0 | 0 | A | INACTIVE |
| THE Aspen Equity Group CRD: 118282 | - | 0 | 1 | - | Unknown |
| THE Aspen Securities Group, Inc. CRD: 13585 | - | 0 | 0 | A | INACTIVE |
| THE Asset Consulting Group, Inc CRD: 173060 | - | 0 | 1 | - | Unknown |
| THE Asset Protection Financial Group LLC CRD: 145313 | - | 0 | 0 | - | Unknown |
| THE Astorino Financial Group, Inc. CRD: 120217 | - | 0 | 2 | - | Unknown |
| THE Astraea Corporation CRD: 114124 | - | 0 | 1 | - | Unknown |
| THE Atlas Financial Group CRD: 306849 | - | 0 | 1 | - | Unknown |
| THE August Wealth Management Group CRD: 314683 | - | 0 | 1 | - | Unknown |
| THE Aurora Funds, Inc. CRD: 163504 | - | 0 | 0 | - | Unknown |
| THE Aurora Project LLC CRD: 340611 | - | 0 | 1 | - | Unknown |
| THE Avantus Group, Inc. CRD: 39347 | - | 0 | 0 | A | INACTIVE |
| THE B Group, Inc. CRD: 310357 | - | 0 | 1 | - | Unknown |
| THE B. Mills Corporation CRD: 8314 | - | 0 | 0 | A | INACTIVE |
| THE Bagpiper Fund, L.P. CRD: 104352 | - | 0 | 0 | A | INACTIVE |
| THE Baha CRD: 319316 | - | 0 | 0 | - | Unknown |
| THE Baker Group CRD: 281500 | - | 0 | 0 | - | Unknown |
| THE Baker Group, LP CRD: 7888 | OK | 4 | 13 | B | Active |
| THE Balance of Trade CRD: 291982 | - | 0 | 1 | - | Unknown |
| THE Baldwin Group Securities, LLC CRD: 312876 | MD | 0 | 2 | A | Active |
| THE Baldwin Group Wealth Advisors, LLC CRD: 312284 | - | 0 | 46 | - | Unknown |
| THE Bank Street Group L.L.C. CRD: 116269 | CT | 0 | 2 | A | Active |
| THE Baran James Company, Inc. CRD: 156242 | - | 0 | 1 | - | Unknown |
| THE Baron Companies CRD: 26093 | - | 0 | 0 | A | INACTIVE |
| THE Bartlett Fund Management Co. CRD: 27273 | - | 0 | 0 | A | INACTIVE |
| THE Baupost Group, L.L.C. CRD: 109530 | - | 0 | 1 | - | Unknown |
| THE Baysouth Company CRD: 39539 | - | 0 | 0 | A | INACTIVE |
| THE Beacon Group Capital Services, L.L.C. CRD: 35349 | - | 0 | 0 | A | INACTIVE |
| THE Becstone Group, Inc. CRD: 24277 | - | 0 | 0 | A | INACTIVE |
| THE Bedminster Group CRD: 118794 | - | 0 | 1 | - | Unknown |
| THE Benchmark Company, Inc. CRD: 24534 | - | 1 | 0 | B | INACTIVE |
| THE Benchmark Company, LLC CRD: 22982 | NY | 19 | 6 | C | Active |
| THE Benchmark Group RIA Services, LLC CRD: 153820 | - | 0 | 1 | - | Unknown |
| THE Bendix Financial Group, Inc. CRD: 118999 | - | 0 | 1 | - | Unknown |
| THE Benham Group CRD: 18784 | - | 0 | 0 | A | INACTIVE |
| THE Benjamin Financial Group CRD: 131646 | - | 0 | 0 | - | Unknown |
| THE Berry Group CRD: 301876 | - | 0 | 0 | - | Unknown |
| THE Better 401(K) Source CRD: 285809 | - | 0 | 1 | - | Unknown |
| THE Biedenharn Investment Group, Inc. CRD: 21332 | - | 0 | 0 | A | INACTIVE |
| THE Blackmont Group CRD: 332776 | - | 0 | 1 | - | Unknown |
| THE Blackwell Group Inc. CRD: 147485 | - | 0 | 0 | - | Unknown |
| THE Blakeley Group Inc CRD: 150066 | - | 0 | 1 | - | Unknown |
| THE BLU Fund CRD: 290237 | - | 0 | 0 | - | Unknown |
| THE Blue OAK Group, LLC CRD: 291588 | - | 0 | 2 | - | Unknown |
| THE Bolin Company CRD: 115837 | - | 0 | 0 | - | Unknown |