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 Knowles Company, LLC CRD: 124779 | - | 0 | 2 | - | Unknown |
| THE Knox Group Wealth Management CRD: 298662 | - | 0 | 1 | - | Unknown |
| THE Kocen Financial Group, Inc. CRD: 112129 | - | 0 | 3 | - | Unknown |
| THE Koenig Group, LLC CRD: 110859 | - | 0 | 0 | - | Unknown |
| THE Kolta Group LLC CRD: 293436 | - | 0 | 0 | - | Unknown |
| THE L. Warner Companies, Inc CRD: 108001 | - | 0 | 8 | - | Unknown |
| THE L.T. Funds SA CRD: 284551 | - | 0 | 0 | - | Unknown |
| THE LAM Group, Inc. CRD: 128055 | - | 0 | 2 | - | Unknown |
| THE Lamb Financial Planning, LLC CRD: 298573 | - | 0 | 0 | - | Unknown |
| THE Lambert Company CRD: 8240 | - | 0 | 0 | A | INACTIVE |
| THE Lampert Advisory Group CRD: 130708 | - | 0 | 1 | - | Unknown |
| THE Landmark Company CRD: 18124 | - | 0 | 0 | A | INACTIVE |
| THE Lasher Group, Inc. CRD: 33478 | - | 0 | 0 | A | INACTIVE |
| THE Launch Partnership, LLC CRD: 284093 | - | 0 | 1 | - | Unknown |
| THE Leaders Group, Inc. CRD: 37157 | NJ | 4 | 73 | B | Active |
| THE League Securities, LLC CRD: 45879 | - | 0 | 0 | A | INACTIVE |
| THE Leedy Corporation CRD: 7007 | - | 0 | 0 | A | INACTIVE |
| THE Lees Company, LLC CRD: 132431 | - | 0 | 0 | - | Unknown |
| THE Legacy Collaborative, Inc. CRD: 114591 | - | 0 | 1 | - | Unknown |
| THE Legacy Financial Group, Inc. CRD: 135059 | - | 0 | 1 | - | Unknown |
| THE Legacy Group, Ltd. CRD: 120972 | - | 0 | 0 | - | Unknown |
| THE Legaltech Fund Management Co., L.L.C. CRD: 311344 | - | 0 | 1 | - | Unknown |
| THE Leonard Financial Group, LLC CRD: 123651 | - | 0 | 1 | - | Unknown |
| THE Leonard Management Group CRD: 104921 | - | 0 | 0 | - | Unknown |
| THE Lewis Financial Group CRD: 315692 | - | 0 | 1 | - | Unknown |
| THE Lewis Securities Corporation CRD: 30432 | - | 0 | 0 | A | INACTIVE |
| THE Life Group Financial Services CRD: 277091 | - | 0 | 4 | - | Unknown |
| THE Life Wealth Group CRD: 332978 | - | 0 | 1 | - | Unknown |
| THE Lifter's Advisor CRD: 300034 | - | 0 | 0 | - | Unknown |
| THE LIN Fund CRD: 325230 | - | 0 | 0 | - | Unknown |
| THE Lincoln National Life Insurance Company CRD: 2580 | - | 14 | 0 | D | INACTIVE |
| THE Lind Partners, LLC CRD: 290338 | - | 0 | 1 | - | Unknown |
| THE Linkous Group, Ltd. CRD: 122557 | - | 0 | 2 | - | Unknown |
| THE Links Group LLC CRD: 114005 | - | 0 | 0 | A | INACTIVE |
| THE Linonia Partnership LP CRD: 326550 | - | 0 | 1 | - | Unknown |
| THE Linvest Equities Company CRD: 14523 | - | 0 | 0 | A | INACTIVE |
| THE Lloyd Advisory Group CRD: 150582 | - | 0 | 1 | - | Unknown |
| THE Lloyd Financial Group CRD: 25994 | - | 0 | 0 | A | INACTIVE |
| THE Logan Group Securities CRD: 40259 | CA | 2 | 3 | B | Active |
| THE London Company of Virginia CRD: 106654 | - | 0 | 6 | - | Unknown |
| THE Longreach Group Limited CRD: 159839 | - | 0 | 0 | - | Unknown |
| THE Lugano Group Incorporated CRD: 38655 | - | 1 | 0 | B | INACTIVE |
| THE Lunar Project Management LLC CRD: 334405 | - | 0 | 1 | - | Unknown |
| THE Lyme Timber Company LLC CRD: 171953 | - | 0 | 1 | - | Unknown |
| THE LYND Group Advisors, LLC CRD: 169664 | - | 0 | 4 | - | Unknown |
| THE Lyttle Company, LLC CRD: 304743 | - | 0 | 1 | - | Unknown |
| THE M & a Group LLC CRD: 144909 | MN | 0 | 3 | A | Active |
| THE M12 Project, LLC CRD: 290730 | - | 0 | 0 | - | Unknown |
| THE Machaira Group, Inc. CRD: 27895 | - | 0 | 0 | A | INACTIVE |
| THE Madrid Group, Inc. CRD: 33715 | - | 0 | 0 | A | INACTIVE |