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 |
|---|---|---|---|---|---|
| Third DAY Capital Management, LLC CRD: 148121 | - | 0 | 1 | - | Unknown |
| Third DAY Capital, Inc. CRD: 148686 | - | 0 | 1 | - | Unknown |
| Third Dimension Advisors, LLC CRD: 194518 | - | 0 | 0 | - | Unknown |
| Third EYE Advisors, LLC CRD: 304749 | - | 0 | 0 | - | Unknown |
| Third EYE Associates, Ltd CRD: 149627 | - | 0 | 1 | - | Unknown |
| Third EYE Capital Management, LLC CRD: 287819 | - | 0 | 1 | - | Unknown |
| Third Friday Management, LLC CRD: 283674 | - | 0 | 0 | - | Unknown |
| Third Gear Capital Management LP CRD: 327316 | - | 0 | 1 | - | Unknown |
| Third Generation Capital Management CRD: 300367 | - | 0 | 1 | - | Unknown |
| Third Haven Management, LLC CRD: 317593 | - | 0 | 0 | - | Unknown |
| Third Kind Venture Capital CRD: 288091 | - | 0 | 1 | - | Unknown |
| Third Lake Associates, LLC CRD: 324388 | FL | 0 | 3 | A | Active |
| Third Lake Partners, LLC CRD: 299961 | - | 0 | 1 | - | Unknown |
| Third Line Financial Planning CRD: 317649 | - | 0 | 0 | - | Unknown |
| Third Millennium Advisors, Inc. CRD: 116860 | - | 0 | 2 | - | Unknown |
| Third Millennium Trading L.L.P. CRD: 41803 | - | 6 | 0 | D | INACTIVE |
| Third Millennium Trading, LLC CRD: 117372 | - | 4 | 0 | C | INACTIVE |
| Third National Brokerage Services, Inc. CRD: 17226 | - | 0 | 0 | A | INACTIVE |
| Third North Capital LP CRD: 285348 | - | 0 | 1 | - | Unknown |
| Third Period Capital Management LLC CRD: 312780 | - | 0 | 1 | - | Unknown |
| Third Point LLC CRD: 137927 | - | 0 | 1 | - | Unknown |
| Third Point Private Capital LLC CRD: 332857 | - | 0 | 1 | - | Unknown |
| Third Prime Capital Management L.P. CRD: 286375 | - | 0 | 1 | - | Unknown |
| Third Rock Ventures, LLC. CRD: 161185 | - | 0 | 1 | - | Unknown |
| Third Round Analytics Capital, LLC CRD: 309357 | - | 0 | 1 | - | Unknown |
| Third Security, LLC CRD: 160690 | - | 0 | 0 | - | Unknown |
| Third Seven Advisors, LLC CRD: 285974 | - | 0 | 0 | - | Unknown |
| Third Seven Capital LLC CRD: 160209 | CT | 1 | 4 | B | Active |
| Third Sigma Investment Advisors LLC CRD: 151188 | - | 0 | 4 | - | Unknown |
| Third Space Capital Management LP CRD: 337586 | - | 0 | 1 | - | Unknown |
| Third Sphere Management, LLC CRD: 301287 | - | 0 | 1 | - | Unknown |
| Third Square Investments, LLC CRD: 170547 | - | 0 | 0 | - | Unknown |
| Third Stage Investment Group, LLC CRD: 141951 | - | 0 | 1 | - | Unknown |
| Third Stanza Group CRD: 337630 | - | 0 | 2 | - | Unknown |
| Third Street Advisors, LLC CRD: 113212 | - | 0 | 0 | - | Unknown |
| Third Tier Wealth Management CRD: 318965 | - | 0 | 1 | - | Unknown |
| Third View Private Wealth CRD: 335591 | - | 0 | 2 | - | Unknown |
| Third Wave Capital LLC CRD: 332862 | - | 0 | 1 | - | Unknown |
| Third WEB Capital Management, LLC CRD: 294888 | - | 0 | 0 | - | Unknown |
| Third WEB Capital Management, LLC CRD: 309633 | - | 0 | 0 | - | Unknown |
| Third Wire Asset Management CRD: 317378 | - | 0 | 1 | - | Unknown |
| Third500, LLC CRD: 115542 | - | 2 | 0 | B | INACTIVE |
| Thirdbase Capital GP, LLC CRD: 318984 | - | 0 | 0 | - | Unknown |
| Thirdline Capital Management LLC CRD: 314158 | - | 0 | 1 | - | Unknown |
| Thirdway Capital Management CRD: 316078 | - | 0 | 0 | - | Unknown |
| Thirdwealth International, Inc CRD: 314947 | - | 0 | 0 | - | Unknown |
| Thirsty Horses Group CRD: 142787 | - | 0 | 0 | - | Unknown |
| Thirteen Twenty-TWO Advisors CRD: 339326 | - | 0 | 1 | - | Unknown |
| Thirty Mile Financial CRD: 305831 | - | 0 | 0 | - | Unknown |
| Thirty Seven Capital Management LP CRD: 297631 | - | 0 | 1 | - | Unknown |