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 |
|---|---|---|---|---|---|
| Thirtynorth Investments, LLC CRD: 155355 | - | 0 | 4 | - | Unknown |
| Thirtyone Wealth CRD: 338832 | - | 0 | 0 | - | Unknown |
| This IS NOT Reporting a Legal Name Change CRD: 318245 | - | 0 | 0 | - | Unknown |
| Thisavros Management, LLC CRD: 294628 | - | 0 | 1 | - | Unknown |
| Thistle Asset Consulting CRD: 139388 | - | 0 | 0 | - | Unknown |
| Thistle Creek Capital, LLC CRD: 331449 | - | 0 | 1 | - | Unknown |
| Thistle Wealth CRD: 334724 | - | 0 | 1 | - | Unknown |
| Thistle Wealth Management, LLC CRD: 333397 | - | 0 | 1 | - | Unknown |
| THL Capital Markets, LLC CRD: 316511 | MA | 0 | 2 | A | Active |
| THL Managers VI, LLC CRD: 160701 | - | 0 | 0 | - | Unknown |
| THL Managers VII, LLC CRD: 171042 | - | 0 | 1 | - | Unknown |
| Thoma Bravo CRD: 157041 | - | 0 | 1 | - | Unknown |
| Thoma Bravo Capital Markets, LLC CRD: 311317 | IL | 0 | 5 | A | Active |
| Thoma Cressey Bravo, Inc. CRD: 157050 | - | 0 | 0 | - | Unknown |
| Thomas & Associates CRD: 10594 | - | 0 | 0 | A | INACTIVE |
| Thomas & Atkinson Capital Management LLC CRD: 129596 | - | 0 | 0 | - | Unknown |
| Thomas & Company LLC CRD: 164731 | - | 0 | 1 | - | Unknown |
| Thomas a. Eskew's Investment Advisory Service CRD: 114400 | - | 0 | 0 | - | Unknown |
| Thomas a. Evans CRD: 13568 | - | 0 | 0 | A | INACTIVE |
| Thomas a. King CRD: 149556 | - | 0 | 0 | - | Unknown |
| Thomas a. Paulson, JR., DBA, Thomas a. Paulson, JR… CRD: 130738 | - | 0 | 2 | - | Unknown |
| Thomas Albert Hamilton, JR. CRD: 124592 | - | 0 | 0 | A | INACTIVE |
| Thomas Anthony & Associates , Inc. CRD: 142090 | - | 0 | 0 | A | INACTIVE |
| Thomas Asset Management CRD: 117181 | - | 0 | 0 | - | Unknown |
| Thomas Azzara - TAY Haven Reporter CRD: 151104 | - | 0 | 0 | - | Unknown |
| Thomas Babcock Investment Advisors, LLC CRD: 138216 | - | 0 | 0 | - | Unknown |
| Thomas Brothers Securities Corporation CRD: 16218 | - | 0 | 0 | A | INACTIVE |
| Thomas Bryan & Associates, Inc. CRD: 13942 | - | 0 | 0 | A | INACTIVE |
| Thomas C. Klein and Company, LLC CRD: 133854 | - | 0 | 2 | - | Unknown |
| Thomas Capital Corporation CRD: 43860 | - | 1 | 0 | B | INACTIVE |
| Thomas Capital Group, Inc. CRD: 45180 | WA | 0 | 3 | A | Active |
| Thomas Capital Management, LLC CRD: 308566 | - | 0 | 0 | - | Unknown |
| Thomas Capital Management, LLC CRD: 113830 | - | 0 | 1 | - | Unknown |
| Thomas Carl Biever Ltd CRD: 123858 | - | 0 | 0 | - | Unknown |
| Thomas Clark CRD: 174348 | - | 0 | 0 | - | Unknown |
| Thomas Craig CRD: 310663 | - | 0 | 0 | - | Unknown |
| Thomas D Bradley, PS CRD: 285207 | - | 0 | 0 | - | Unknown |
| Thomas Dent Investments, Inc. CRD: 121818 | - | 0 | 0 | - | Unknown |
| Thomas Dwight Capital, LLC CRD: 310256 | - | 0 | 0 | - | Unknown |
| Thomas Everett Investments, LLC CRD: 318950 | - | 0 | 1 | - | Unknown |
| Thomas Financial Advisors CRD: 154289 | - | 0 | 0 | - | Unknown |
| Thomas Financial Planning, LLC CRD: 120726 | - | 0 | 1 | - | Unknown |
| Thomas Financial Services, Inc. CRD: 15817 | - | 0 | 0 | A | INACTIVE |
| Thomas Fletcher & Company, Inc. CRD: 43675 | - | 6 | 0 | C | INACTIVE |
| Thomas Francis O'connell CRD: 292181 | - | 0 | 1 | - | Unknown |
| Thomas Greeff LEE CRD: 137695 | - | 0 | 0 | A | INACTIVE |
| Thomas Green Securities, Inc. CRD: 571 | - | 9 | 0 | D | INACTIVE |
| Thomas Group Capital CRD: 112901 | - | 5 | 0 | C | INACTIVE |
| Thomas Investment Advisors LLC CRD: 334544 | - | 0 | 1 | - | Unknown |
| Thomas Investment Group, LLC CRD: 155349 | - | 0 | 0 | - | Unknown |