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 Wolter Group, Inc. CRD: 296828 | - | 0 | 3 | - | Unknown |
| THE Wordway Planning Corporation CRD: 124596 | - | 0 | 0 | - | Unknown |
| THE World Changers Investments, LLC CRD: 326532 | - | 0 | 2 | - | Unknown |
| THE Worley Banks Group, LLC CRD: 306890 | - | 0 | 1 | - | Unknown |
| THE Wright Legacy Group, LLC CRD: 146934 | - | 0 | 0 | - | Unknown |
| THE Yanker Group CRD: 281364 | - | 0 | 1 | - | Unknown |
| THE Zabel Companies, LLC CRD: 298721 | - | 0 | 1 | - | Unknown |
| THE Zanett Securities Corporation, a NEW York Corp… CRD: 35050 | - | 0 | 0 | A | INACTIVE |
| THE Zillennial Advisors CRD: 324808 | - | 0 | 1 | - | Unknown |
| Thea Nesis, LLC CRD: 325592 | - | 0 | 1 | - | Unknown |
| Thebeau-Kelly, Inc. CRD: 115709 | - | 0 | 0 | - | Unknown |
| Thece Wealth Management CRD: 333246 | - | 0 | 0 | - | Unknown |
| Theeli Wealth LLC CRD: 317890 | - | 0 | 0 | - | Unknown |
| Thefoundervc, LLC CRD: 332986 | - | 0 | 1 | - | Unknown |
| Thegrid LLC CRD: 325618 | - | 0 | 3 | - | Unknown |
| Theia CRD: 334442 | - | 0 | 1 | - | Unknown |
| Theissen Equities Corporation CRD: 19382 | - | 0 | 0 | A | INACTIVE |
| Theleme Partners (Difc) Limited CRD: 342597 | - | 0 | 0 | - | Unknown |
| Theleme Partners LLP CRD: 157257 | - | 0 | 0 | - | Unknown |
| Thelinku RIA, LLC CRD: 334862 | - | 0 | 1 | - | Unknown |
| Thematal Capital Management, LLC CRD: 153964 | - | 0 | 0 | - | Unknown |
| Thematic Investments, LLC CRD: 315752 | - | 0 | 0 | - | Unknown |
| Theme Analytics, LLC CRD: 322008 | - | 0 | 0 | - | Unknown |
| Themes Management Company LLC CRD: 323861 | - | 0 | 1 | - | Unknown |
| Themis Trading LLC CRD: 120116 | NJ | 0 | 2 | A | Active |
| THEMONEYMD.COM, LLC CRD: 288761 | - | 0 | 2 | - | Unknown |
| Then, Veronica LEE CRD: 118465 | - | 0 | 0 | A | INACTIVE |
| Theorem CRD: 281280 | - | 0 | 1 | - | Unknown |
| Theorema Advisors Ltd. CRD: 153098 | - | 0 | 0 | - | Unknown |
| Theorema Advisors UK LLP CRD: 137489 | - | 0 | 0 | - | Unknown |
| Theoria Capital Management PTE. Ltd. CRD: 324632 | - | 0 | 0 | - | Unknown |
| Theory Financial CRD: 304084 | - | 0 | 3 | - | Unknown |
| Theory Forge Management, LLC CRD: 332195 | - | 0 | 1 | - | Unknown |
| Theory Planning Partners CRD: 308877 | - | 0 | 4 | - | Unknown |
| Theory Ventures Management, LLC CRD: 326119 | - | 0 | 1 | - | Unknown |
| Thepartners Wealth Management CRD: 314816 | - | 0 | 36 | - | Unknown |
| Thepension401K CRD: 284453 | - | 0 | 3 | - | Unknown |
| Therapeutics Investment, Inc. CRD: 23100 | - | 0 | 0 | A | INACTIVE |
| Therawealth, LLC CRD: 337978 | - | 0 | 1 | - | Unknown |
| Therese Govern Financial Advisors LLC CRD: 160491 | - | 0 | 0 | - | Unknown |
| Theriot Walston Inc. CRD: 166669 | - | 0 | 0 | - | Unknown |
| Therium Capital Management (USA), Inc. CRD: 292328 | - | 0 | 0 | - | Unknown |
| Therium Group Holdings Limited CRD: 292363 | - | 0 | 0 | - | Unknown |
| Thesaurus Capital Group Management LLC CRD: 335499 | - | 0 | 0 | - | Unknown |
| Theta Analytics, LLC CRD: 38763 | - | 0 | 0 | A | INACTIVE |
| Theta Capital Partners, LLC CRD: 173602 | - | 0 | 0 | - | Unknown |
| Theta Flux Capital Management, LLC CRD: 342102 | - | 0 | 1 | - | Unknown |
| Theta Investments, LLC CRD: 324072 | - | 0 | 0 | - | Unknown |
| Theta Wealth Partners CRD: 339241 | - | 0 | 1 | - | Unknown |
| Thetablue Advisor LLC CRD: 340952 | - | 0 | 1 | - | Unknown |