Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Emma 100, LLC CRD: 315604 | — | 0 | 1 | A | Unknown |
| Emma Josie Ferguson CRD: 106934 | — | 0 | 0 | A | Unknown |
| Emma Research LLC CRD: 334501 | — | 0 | 1 | A | Unknown |
| Emmet & Co, Inc. CRD: 15993 | — | 4 | 0 | C | INACTIVE |
| Emmett Charles, LLC CRD: 169985 | — | 0 | 0 | A | Unknown |
| Emory Wealth LLC CRD: 333375 | — | 0 | 1 | A | Unknown |
| Empactful CRD: 298742 | — | 0 | 0 | A | Unknown |
| Empath Wealth CRD: 334259 | — | 0 | 1 | A | Unknown |
| Emperor Investments, Inc. CRD: 285445 | — | 0 | 0 | A | Unknown |
| Empire Advisors CRD: 311749 | — | 0 | 0 | A | Unknown |
| Empire Capital GP, L.L.C. CRD: 286276 | — | 0 | 1 | A | Unknown |
| Empire Executions, Inc. CRD: 44957 | — | 2 | 0 | B | INACTIVE |
| Empire Investment Inc. CRD: 16763 | NY | 4 | 2 | B | Active |
| Empire State Securities CRD: 17549 | — | 1 | 0 | B | INACTIVE |
| Empower Advisory Group, LLC CRD: 112058 | — | 0 | 1,559 | A | Unknown |
| Empower Financial CRD: 318472 | — | 0 | 1 | A | Unknown |
| Empower Harvest Management Services, Inc. CRD: 284291 | — | 0 | 0 | A | Unknown |
| Empowerhaus LLC CRD: 305272 | — | 0 | 0 | A | Unknown |
| EMR Securities, Inc. CRD: 13418 | — | 0 | 0 | A | INACTIVE |
| Emrose Capital, LLC CRD: 288873 | — | 0 | 0 | A | Unknown |
| EMS Capital LP CRD: 153756 | — | 0 | 0 | A | Unknown |
| Emso Asset Management US LLC CRD: 167999 | — | 0 | 0 | A | Unknown |
| EMU Securities LLC CRD: 282630 | — | 0 | 0 | A | INACTIVE |
| EMZ Partners CRD: 333324 | — | 0 | 0 | A | Unknown |
| EN+ Wealth CRD: 328854 | — | 0 | 1 | A | Unknown |
| Enable Ventures CRD: 329692 | — | 0 | 1 | A | Unknown |
| Encap Energy Advisors, LLC CRD: 104215 | — | 0 | 0 | A | INACTIVE |
| Encap ETF Management, LLC CRD: 325769 | — | 0 | 1 | A | Unknown |
| Encap Investments L.P. CRD: 160695 | — | 0 | 1 | A | Unknown |
| Enclosure Energy Management CRD: 335570 | — | 0 | 1 | A | Unknown |
| Encoded Ventures CRD: 331657 | — | 0 | 1 | A | Unknown |
| Encompass More LLC CRD: 288260 | — | 0 | 0 | A | Unknown |
| Encore 401K, LLC CRD: 324414 | — | 0 | 2 | A | Unknown |
| Endeavor Capital CRD: 118820 | NY | 1 | 2 | B | Active |
| Endeavor Trading CRD: 44595 | — | 0 | 0 | A | INACTIVE |
| Endicott Capital CRD: 308447 | — | 0 | 1 | A | Unknown |
| Endicott Group CRD: 157119 | — | 0 | 1 | A | Unknown |
| Endless LLP CRD: 161917 | — | 0 | 0 | A | Unknown |
| Endorfin Wealth CRD: 296376 | — | 0 | 0 | A | Unknown |
| Endowe Advisory LLC CRD: 338697 | — | 0 | 2 | A | Unknown |
| Endries Otto, LLC CRD: 291793 | — | 0 | 0 | A | Unknown |
| Enduen LLC CRD: 283936 | — | 0 | 0 | A | Unknown |
| Endurance Engineering Management LP CRD: 316018 | — | 0 | 0 | A | Unknown |
| Endurance28 VC LLC CRD: 307613 | — | 0 | 1 | A | Unknown |
| Enduring Equity Holdings, LLC CRD: 339930 | — | 0 | 1 | A | Unknown |
| Enduring Financial CRD: 334528 | — | 0 | 1 | A | Unknown |
| Enea Capital, LLC CRD: 338322 | — | 0 | 1 | A | Unknown |
| Energent, L.P. CRD: 283736 | — | 0 | 0 | A | Unknown |
| Energiant, Inc. CRD: 10834 | — | 0 | 0 | A | INACTIVE |
| Energy Funders CRD: 171081 | — | 0 | 0 | A | Unknown |