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 Dratel Group, Inc. CRD: 8049 | - | 11 | 0 | D | INACTIVE |
| THE Dresner Company CRD: 1679 | - | 6 | 0 | D | INACTIVE |
| THE Driscoll Group, Inc. CRD: 141102 | - | 0 | 1 | - | Unknown |
| THE Driscoll Trading Group, Inc. CRD: 31613 | - | 0 | 0 | A | INACTIVE |
| THE Dublin Company CRD: 19592 | - | 0 | 0 | A | INACTIVE |
| THE Ducoat Financial Group CRD: 119884 | - | 0 | 1 | - | Unknown |
| THE Dyflex Group CRD: 129321 | - | 0 | 0 | - | Unknown |
| THE Eastrade Asset Management Corporation CRD: 124232 | - | 0 | 1 | - | Unknown |
| THE Edgar Lomax Company CRD: 105444 | - | 0 | 1 | - | Unknown |
| THE Edison Fund Management Company, L.L.C. CRD: 305436 | - | 0 | 1 | - | Unknown |
| THE Eideard Group, LLC CRD: 139834 | - | 0 | 1 | - | Unknown |
| THE Electrum Group LLC CRD: 161407 | - | 0 | 1 | - | Unknown |
| THE Elite Financial Network, Inc. CRD: 130312 | - | 0 | 0 | - | Unknown |
| THE Ellerson Group Inc CRD: 106658 | - | 0 | 1 | - | Unknown |
| THE Elliott Group CRD: 168512 | - | 0 | 2 | - | Unknown |
| THE Ellsworth Corporation CRD: 16372 | - | 0 | 0 | A | INACTIVE |
| THE Energy & Minerals Group CRD: 157915 | - | 0 | 2 | - | Unknown |
| THE Energy & Minerals Group Advisors, LLC CRD: 323663 | - | 0 | 0 | - | Unknown |
| THE Energy & Minerals Group LP CRD: 339275 | - | 0 | 1 | - | Unknown |
| THE Engine Accelerator, Inc. CRD: 288782 | - | 0 | 0 | - | Unknown |
| THE Englander Capital Corporation CRD: 33609 | - | 1 | 0 | B | INACTIVE |
| THE English Association Inc. CRD: 13292 | - | 0 | 0 | A | INACTIVE |
| THE Enmark Group, Inc. CRD: 14175 | - | 0 | 0 | A | INACTIVE |
| THE Ensemble Team CRD: 331144 | - | 0 | 1 | - | Unknown |
| THE Enterprise Investment Company CRD: 116889 | - | 0 | 1 | - | Unknown |
| THE Enterprise Securities Company CRD: 26598 | MI | 2 | 2 | B | Active |
| THE Entrepreneur's Investment Office Ltd CRD: 334517 | - | 0 | 0 | - | Unknown |
| THE Entrepreneurs' Fund Management Services, L.L.C… CRD: 163190 | - | 0 | 0 | - | Unknown |
| THE Equalized Estate, Ltd. CRD: 1746 | - | 0 | 0 | A | INACTIVE |
| THE Equilux Group, LP CRD: 293372 | - | 0 | 0 | - | Unknown |
| THE Equitable Life Assurance Society of the United… CRD: 4039 | - | 22 | 0 | F | INACTIVE |
| THE Equity Alliance CRD: 326652 | - | 0 | 1 | - | Unknown |
| THE Estate Planners Group CRD: 124418 | - | 0 | 5 | - | Unknown |
| THE Estate Planning Team, Inc. CRD: 170414 | - | 0 | 1 | - | Unknown |
| THE ET General Partner Entity, LLC CRD: 318864 | - | 0 | 1 | - | Unknown |
| THE Ethical Advisor, LLC CRD: 143898 | - | 0 | 0 | - | Unknown |
| THE Eventus Fund, LLC CRD: 131972 | - | 0 | 0 | A | INACTIVE |
| THE Evergreen Advantage Management, Inc. CRD: 165547 | - | 0 | 1 | - | Unknown |
| THE Everyday Financial Planner CRD: 299354 | - | 0 | 0 | - | Unknown |
| THE Exchange, Inc. CRD: 41206 | - | 0 | 0 | A | INACTIVE |
| THE Explorers, LLC CRD: 326797 | - | 0 | 1 | - | Unknown |
| THE Exxel Group CRD: 163787 | - | 0 | 0 | - | Unknown |
| THE Fairman Group, LLC CRD: 121492 | - | 0 | 4 | - | Unknown |
| THE Faller Company, Inc. CRD: 26476 | - | 0 | 0 | A | INACTIVE |
| THE Faller Company, LLC CRD: 47583 | - | 0 | 0 | A | INACTIVE |
| THE Family Financial Group CRD: 318908 | - | 0 | 2 | - | Unknown |
| THE Family Firm, Inc. CRD: 105270 | - | 0 | 0 | - | Unknown |
| THE Family Office, LLC CRD: 288530 | - | 0 | 0 | - | Unknown |
| THE Family Offices Global Ventures Inc. CRD: 333989 | - | 0 | 2 | - | Unknown |
| THE Faragi Group CRD: 159936 | - | 0 | 1 | - | Unknown |