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 Money Tree, Inc. CRD: 16502 | - | 0 | 0 | A | INACTIVE |
| THE Moneypaper Advisor, Inc. CRD: 156971 | - | 0 | 1 | - | Unknown |
| THE Monitor Group, Inc. CRD: 126576 | - | 0 | 1 | - | Unknown |
| THE Monroe Capital Corporation CRD: 8218 | - | 0 | 0 | A | INACTIVE |
| THE Montgomery Financial Group, Inc. CRD: 140782 | - | 0 | 1 | - | Unknown |
| THE Moorings Group, LLC CRD: 129403 | - | 0 | 1 | - | Unknown |
| THE Morton Capital Group CRD: 138320 | - | 0 | 0 | - | Unknown |
| THE Mosaic Financial Group, LLC CRD: 109816 | - | 0 | 6 | - | Unknown |
| THE Mustico Financial Group, Inc. CRD: 125763 | - | 0 | 1 | - | Unknown |
| THE Mutual Fund Public Company Limited CRD: 110387 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Research Center, Research Center CRD: 140760 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 150362 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 154811 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 133682 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 133233 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 147652 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 150032 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 141596 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 145374 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 164603 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 165877 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 136985 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 137915 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 144963 | - | 0 | 0 | - | Unknown |
| THE Mutual Fund Store CRD: 119106 | - | 0 | 0 | - | Unknown |
| THE Mutual Life Insurance Company of NEW York CRD: 2873 | - | 0 | 0 | A | INACTIVE |
| THE N.E. Cummings Group, Inc. CRD: 18362 | - | 0 | 0 | A | INACTIVE |
| THE Nalls Sherbakoff Group, LLC CRD: 168239 | - | 0 | 1 | - | Unknown |
| THE Nassau Group, Inc. CRD: 36170 | - | 0 | 0 | A | INACTIVE |
| THE Nell Company CRD: 13433 | - | 0 | 0 | A | INACTIVE |
| THE Nemes Rush Group, LLC CRD: 312554 | - | 0 | 1 | - | Unknown |
| THE Nesbit Group, Inc. CRD: 17678 | - | 0 | 0 | A | INACTIVE |
| THE Nestegg Group, Inc. CRD: 118419 | - | 0 | 3 | - | Unknown |
| THE NEW Penfacs Inc. CRD: 145584 | MA | 0 | 2 | A | Active |
| THE Newcastle Network LP CRD: 316201 | - | 0 | 1 | - | Unknown |
| THE Newton Follis Partnership Limited CRD: 112853 | - | 0 | 0 | - | Unknown |
| THE Nieds Corporation CRD: 14375 | - | 0 | 0 | A | INACTIVE |
| THE NLW Capital Group LLC CRD: 313391 | - | 0 | 2 | - | Unknown |
| THE Noble House Financial Group, LLC CRD: 44080 | - | 0 | 0 | A | INACTIVE |
| THE Norden Group LLC CRD: 323988 | - | 0 | 17 | - | Unknown |
| THE North Beach Collective CRD: 338777 | - | 0 | 1 | - | Unknown |
| THE Northline Group CRD: 339016 | - | 0 | 1 | - | Unknown |
| THE Northstar Group, Inc. CRD: 31282 | - | 0 | 0 | A | INACTIVE |
| THE Northstar Group, Inc. CRD: 110409 | - | 0 | 4 | - | Unknown |
| THE O'donnell Group CRD: 162562 | - | 0 | 1 | - | Unknown |
| THE o.n. Equity Sales Company CRD: 2936 | OH | 9 | 186 | B | Active |
| THE OAK Ridge Financial Services Group, Inc. CRD: 42941 | MN | 10 | 11 | B | Active |
| THE Oakes Financial Group CRD: 159355 | - | 0 | 1 | - | Unknown |
| THE Odin Group, Inc. CRD: 23353 | - | 0 | 0 | A | INACTIVE |
| THE Odyssey Group CRD: 114273 | - | 0 | 0 | - | Unknown |