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 Office of Heath O. Lauseng CRD: 165438 | - | 0 | 1 | - | Unknown |
| THE Ohio Securities Company CRD: 13466 | - | 0 | 0 | A | INACTIVE |
| THE Olympia Group LLC CRD: 326874 | - | 0 | 1 | - | Unknown |
| THE Operand Group II LLC CRD: 285587 | - | 0 | 1 | - | Unknown |
| THE Operators Fund Investment Management, L.P. CRD: 340501 | - | 0 | 1 | - | Unknown |
| THE Orion Capital Group, Inc. CRD: 25953 | - | 2 | 0 | B | INACTIVE |
| THE Orion Fund CRD: 333787 | - | 0 | 1 | - | Unknown |
| THE ORR Group, LLC CRD: 131862 | - | 0 | 0 | A | INACTIVE |
| THE Other 90 Financial, LLC CRD: 323952 | - | 0 | 1 | - | Unknown |
| THE Oxford Group, Inc. CRD: 21478 | - | 0 | 0 | A | INACTIVE |
| THE Pacific Center for Financial Services CRD: 104557 | - | 0 | 1 | - | Unknown |
| THE Pacific Financial Group, Inc. CRD: 105203 | - | 0 | 12 | - | Unknown |
| THE Pacific Group CRD: 297601 | - | 0 | 2 | - | Unknown |
| THE Pacific Group Limited CRD: 161424 | - | 0 | 0 | - | Unknown |
| THE Palisades Group, LLC CRD: 165609 | - | 0 | 1 | - | Unknown |
| THE Palmer Knight Company CRD: 112983 | - | 0 | 2 | - | Unknown |
| THE Panopoulos Group CRD: 287552 | - | 0 | 1 | - | Unknown |
| THE Paragon Partners Fund II GMBH & Co. KG CRD: 314204 | - | 0 | 0 | - | Unknown |
| THE Paragon Partners Fund III GMBH & Co. KG CRD: 304934 | - | 0 | 0 | - | Unknown |
| THE Paragon Partners Fund IV GMBH & Co. KG CRD: 325811 | - | 0 | 0 | - | Unknown |
| THE Parkins Investment Securities Corporation CRD: 7431 | - | 0 | 0 | A | INACTIVE |
| THE Parkridge Group CRD: 147900 | - | 0 | 0 | - | Unknown |
| THE Parrish Group CRD: 129217 | - | 0 | 0 | - | Unknown |
| THE Partners Financial Group, Inc. CRD: 31979 | - | 3 | 0 | C | INACTIVE |
| THE Partners Fund Advisors, LLC CRD: 327193 | - | 0 | 1 | - | Unknown |
| THE Patriot Financial Group, LLC CRD: 172470 | - | 0 | 44 | - | Unknown |
| THE Patriot Group Securities CRD: 137904 | - | 1 | 0 | B | INACTIVE |
| THE Patten Group, Inc. CRD: 168255 | - | 0 | 1 | - | Unknown |
| THE Patterson Capital Corporation CRD: 105507 | - | 0 | 0 | - | Unknown |
| THE Paul Revere Variable Annuity Insurance Company CRD: 647 | - | 1 | 0 | B | INACTIVE |
| THE Pellerin Company LLC CRD: 285100 | - | 0 | 0 | - | Unknown |
| THE Penn Investment Group Inc. CRD: 38530 | - | 0 | 0 | A | INACTIVE |
| THE Pennsylvania Group, Incorporated CRD: 5402 | - | 4 | 0 | C | INACTIVE |
| THE Pennyroyal Group, LLC CRD: 171667 | - | 0 | 0 | - | Unknown |
| THE Pension Group CRD: 293819 | - | 0 | 1 | - | Unknown |
| THE Perkins Group CRD: 25516 | - | 0 | 0 | A | INACTIVE |
| THE Personal Wealth Coach CRD: 144588 | - | 0 | 1 | - | Unknown |
| THE Perspective Group CRD: 175294 | - | 0 | 1 | - | Unknown |
| THE Petroluem Financial Corporation CRD: 10638 | - | 0 | 0 | A | INACTIVE |
| THE Phillips Group Advisors CRD: 151662 | - | 0 | 0 | - | Unknown |
| THE Phoenix Fund Advisor LLC CRD: 316384 | - | 0 | 1 | - | Unknown |
| THE Phynancial MD, LLC CRD: 173766 | - | 0 | 0 | - | Unknown |
| THE Pillar Strategies CRD: 166641 | - | 0 | 2 | - | Unknown |
| THE Pines Wealth Management, LLC CRD: 326353 | - | 0 | 1 | - | Unknown |
| THE Pinnacle Financial Group CRD: 164395 | - | 0 | 24 | - | Unknown |
| THE Pinnacle Group, Inc. CRD: 17048 | - | 0 | 0 | A | INACTIVE |
| THE Pinsky Group CRD: 16541 | - | 0 | 0 | A | INACTIVE |
| THE Pioneer Group, Inc. CRD: 1932 | - | 0 | 0 | A | INACTIVE |
| THE Pitch Fund, LLC CRD: 327310 | - | 0 | 1 | - | Unknown |
| THE Pitti Group Wealth Management, LLC CRD: 314685 | - | 0 | 1 | - | Unknown |