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 |
|---|---|---|---|---|---|
| Balter Liquid Alternatives, LLC CRD: 169416 | - | 0 | 0 | - | Unknown |
| Baltheus Securities Inc. CRD: 23747 | - | 0 | 0 | A | INACTIVE |
| Baltimore Avenue Investments, LLC CRD: 159833 | - | 0 | 1 | - | Unknown |
| Baltimore Bancorp Investment Services, Inc. CRD: 17514 | - | 0 | 0 | A | INACTIVE |
| Baltimore Capital Management, Inc. CRD: 109949 | - | 0 | 0 | - | Unknown |
| Baltimore First Financial Corporation CRD: 17706 | - | 0 | 0 | A | INACTIVE |
| Baltimore-Washington Financial Advisors CRD: 159388 | - | 0 | 1 | - | Unknown |
| Baltra Capital LLC CRD: 156066 | - | 0 | 0 | A | INACTIVE |
| Baluarte Capital US CRD: 328830 | - | 0 | 1 | - | Unknown |
| Baluch Capital CRD: 330191 | - | 0 | 1 | - | Unknown |
| Baluden Financial CRD: 340191 | - | 0 | 2 | - | Unknown |
| Balyasny Asset Management L.P. CRD: 138111 | - | 0 | 1 | - | Unknown |
| BAM Credit and Insurance Solutions Advisor LLC CRD: 312792 | - | 0 | 1 | - | Unknown |
| BAM Credit Manager, LLC CRD: 338016 | - | 0 | 1 | - | Unknown |
| BAM Options L.L.C. CRD: 132158 | - | 0 | 0 | A | INACTIVE |
| BAM Trading CRD: 297697 | - | 0 | 0 | - | Unknown |
| BAM Ventures GP, LLC CRD: 173053 | - | 0 | 0 | - | Unknown |
| BAM Ventures Management, LLC CRD: 329944 | - | 0 | 1 | - | Unknown |
| BAM Wealth Management LLC CRD: 330237 | - | 0 | 1 | - | Unknown |
| Bamboo Investment Management CRD: 314706 | - | 0 | 0 | - | Unknown |
| Bamboo Securities, LLC CRD: 318434 | NY | 0 | 1 | A | Active |
| Bamboo Wealth Strategies CRD: 170093 | - | 0 | 2 | - | Unknown |
| Bambumeta Ventures LLC CRD: 340940 | - | 0 | 1 | - | Unknown |
| Bamco, Inc. CRD: 110789 | - | 0 | 1 | - | Unknown |
| Banana Capital Management, LLC CRD: 312842 | - | 0 | 1 | - | Unknown |
| Banbridge Management, LLC CRD: 342310 | - | 0 | 1 | - | Unknown |
| Banbury LLC CRD: 294863 | - | 0 | 1 | - | Unknown |
| Banbury Partners LLC CRD: 172773 | - | 0 | 0 | - | Unknown |
| Banc IV Investments, Inc. CRD: 36169 | - | 0 | 0 | A | INACTIVE |
| Banc of America Investment Services, Inc. CRD: 16361 | - | 122 | 0 | F | INACTIVE |
| Banc of America Securities LLC CRD: 26091 | - | 93 | 0 | F | INACTIVE |
| Banc of America Specialist, Inc. CRD: 103971 | - | 7 | 0 | D | INACTIVE |
| Banc of Manhattan Capital CRD: 149880 | - | 2 | 0 | B | INACTIVE |
| Banc ONE Arizona Investment Services Corporation CRD: 17738 | - | 0 | 0 | A | INACTIVE |
| Banc ONE Brokerage International Corporation CRD: 32769 | - | 4 | 0 | C | INACTIVE |
| Banc ONE Capital Markets, Inc. CRD: 27267 | - | 0 | 0 | A | INACTIVE |
| Banc ONE Capital Markets, Inc. CRD: 23065 | - | 8 | 0 | D | INACTIVE |
| Banc ONE Securities Corporation CRD: 16999 | - | 15 | 0 | D | INACTIVE |
| Banc ONE Securities, Inc. CRD: 17436 | - | 0 | 0 | A | INACTIVE |
| Banc ONE Wisconsin Investment Services Corporation CRD: 17087 | - | 0 | 0 | A | INACTIVE |
| Banc Securities, Inc. CRD: 28471 | - | 0 | 0 | A | INACTIVE |
| Banc Street Securities, Inc. CRD: 19849 | - | 0 | 0 | A | INACTIVE |
| Banca Ifigest S.P.A. CRD: 170095 | - | 0 | 0 | - | Unknown |
| Bancal Investment Services, Inc. CRD: 17122 | - | 0 | 0 | A | INACTIVE |
| Bancamerica Securities, Inc. CRD: 17977 | - | 0 | 0 | A | INACTIVE |
| Bancapital Investment Corporation CRD: 15258 | - | 0 | 0 | A | INACTIVE |
| Bancaribe Capital CRD: 325521 | - | 0 | 1 | - | Unknown |
| Bancboston Brokerage Inc. CRD: 17473 | - | 0 | 0 | A | INACTIVE |
| Bancboston Connecticut Brokerage CRD: 17488 | - | 0 | 0 | A | INACTIVE |
| Bancboston Securities Inc. CRD: 23327 | - | 0 | 0 | A | INACTIVE |