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 Timberland Secondary Group CRD: 165995 | - | 0 | 0 | - | Unknown |
| THE Tiny House Adviser CRD: 325670 | - | 0 | 1 | - | Unknown |
| THE Tokarz Group Advisers LLC CRD: 141577 | - | 0 | 0 | - | Unknown |
| THE Topgallant Group, LLC CRD: 282318 | - | 0 | 0 | - | Unknown |
| THE Trading Desk, Inc. CRD: 22908 | - | 0 | 0 | A | INACTIVE |
| THE Tranel Group, LLC CRD: 327747 | - | 0 | 2 | - | Unknown |
| THE Transportation Group (Securities) Limited CRD: 24329 | - | 7 | 0 | D | INACTIVE |
| THE Transportation Group (Securities) Limited CRD: 286288 | - | 7 | 0 | D | INACTIVE |
| THE Travelers Insurance Company CRD: 3604 | - | 0 | 0 | A | INACTIVE |
| THE Trinity Fund CRD: 322050 | - | 0 | 0 | - | Unknown |
| THE Trinity Group, LLC CRD: 128490 | - | 0 | 0 | A | INACTIVE |
| THE True Prophets LLC CRD: 320723 | - | 0 | 1 | - | Unknown |
| THE Truman Group Inc CRD: 10764 | - | 3 | 0 | C | INACTIVE |
| THE Truxtun Group CRD: 152122 | - | 0 | 0 | - | Unknown |
| THE Ujano Advisory Group LLC CRD: 288141 | - | 0 | 2 | - | Unknown |
| THE Ultima Global Markets (USA), Inc. CRD: 47895 | NY | 1 | 2 | B | Active |
| THE Umbrella Corporation CRD: 340959 | - | 0 | 1 | - | Unknown |
| THE Urban Advisory Group LLC CRD: 152764 | - | 0 | 0 | - | Unknown |
| THE Valence Group, LLC CRD: 150132 | - | 0 | 0 | A | INACTIVE |
| THE Valente Group LLC CRD: 168189 | - | 0 | 1 | - | Unknown |
| THE Variable Annuity Life Insurance Company CRD: 104561 | - | 0 | 1 | - | Unknown |
| THE Variable Annuity Marketing Company CRD: 5081 | - | 1 | 0 | B | INACTIVE |
| THE Venture City Management, LLC CRD: 289954 | - | 0 | 1 | - | Unknown |
| THE Venture Collective LLC CRD: 313874 | - | 0 | 1 | - | Unknown |
| THE Veracity Group, LLC CRD: 169171 | - | 0 | 1 | - | Unknown |
| THE Vermillion Advisors, LLC CRD: 203514 | - | 0 | 0 | - | Unknown |
| THE Vertical Group CRD: 104353 | NJ | 13 | 4 | C | Active |
| THE Vertical Group, L.P. CRD: 163531 | - | 0 | 0 | - | Unknown |
| THE Vertical Market Intelligence Group, LLC CRD: 326975 | - | 0 | 2 | - | Unknown |
| THE Veteran Fund Manager LLC CRD: 319019 | - | 0 | 1 | - | Unknown |
| THE Viable Group, Inc. CRD: 143266 | - | 0 | 5 | - | Unknown |
| THE Vistria Group, LP CRD: 167045 | - | 0 | 1 | - | Unknown |
| THE Visualize Group LP CRD: 327531 | - | 0 | 1 | - | Unknown |
| THE VON Dohlen Knuffke Financial Group, LLC CRD: 172094 | - | 0 | 1 | - | Unknown |
| THE W & W Group LLC CRD: 286334 | - | 0 | 1 | - | Unknown |
| THE Wallach Company, Inc. CRD: 15926 | - | 0 | 0 | A | INACTIVE |
| THE Warwick Corporation CRD: 22537 | - | 0 | 0 | A | INACTIVE |
| THE Watchman Group, Inc. CRD: 133690 | - | 0 | 2 | - | Unknown |
| THE Water Council CRD: 269843 | - | 0 | 1 | - | Unknown |
| THE Watermill Group CRD: 163370 | - | 0 | 1 | - | Unknown |
| THE WAY Point Advisory Group LLC CRD: 283111 | - | 0 | 0 | - | Unknown |
| THE Wealth Advantage Group, Inc. CRD: 122231 | - | 0 | 1 | - | Unknown |
| THE Wealth Advisors CRD: 130247 | - | 0 | 0 | - | Unknown |
| THE Wealth Alliance, LLC CRD: 305052 | - | 0 | 4 | - | Unknown |
| THE Wealth Boutique CRD: 317291 | - | 0 | 6 | - | Unknown |
| THE Wealth Coach for Women, Inc. CRD: 284995 | - | 0 | 0 | - | Unknown |
| THE Wealth Collaborative CRD: 329753 | - | 0 | 2 | - | Unknown |
| THE Wealth Collaborative, Inc. CRD: 142618 | - | 0 | 1 | - | Unknown |
| THE Wealth Collective, LLC CRD: 310389 | - | 0 | 1 | - | Unknown |
| THE Wealth Conservancy, Inc. CRD: 112024 | - | 0 | 1 | - | Unknown |