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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Three Chopt Financial Planning, LLC
CRD: 287978
 - 0 0 - Unknown
Three Circles Capital Management, LLC
CRD: 138434
 - 0 1 - Unknown
Three Cord True Wealth Management, LLC
CRD: 307480
 - 0 1 - Unknown
Three Corner Global Investors LP
CRD: 167556
 - 0 0 - Unknown
Three Court, LP
CRD: 170477
 - 0 1 - Unknown
Three Crowns Capital (Bermuda) Limited
CRD: 128640
 - 0 0 A INACTIVE
Three Dots Advisory LLC
CRD: 342640
 - 0 1 - Unknown
Three Fifty Eight Investment Group, LLC
CRD: 334965
 - 0 1 - Unknown
Three Haven Advisors, LLC
CRD: 318419
 - 0 1 - Unknown
Three Hills Capital Partners LLP
CRD: 292871
 - 0 0 - Unknown
Three JAY Partners
CRD: 301932
 - 0 0 - Unknown
Three Lakes Advisors, Inc.
CRD: 110103
 - 0 1 - Unknown
Three Lakes Investment Services, Inc.
CRD: 149400
 - 0 0 - Unknown
Three Lakes Securities, LLC
CRD: 152147
 - 0 0 A INACTIVE
Three Lions Capital Management, LLC
CRD: 316943
 - 0 1 - Unknown
Three Magnolias Financial Advisors
CRD: 114471
 - 0 2 - Unknown
Three Main Points LLC
CRD: 325191
 - 0 1 - Unknown
Three Nine Financial
CRD: 283293
 - 0 0 - Unknown
Three North Capital Management, LLC
CRD: 321629
 - 0 1 - Unknown
Three Oaks Partners Investment Counsel LLC
CRD: 333279
 - 0 2 - Unknown
Three Oaks Wealth
CRD: 171082
 - 0 3 - Unknown
Three Ocean Securities LLC
CRD: 166387
 NY 0 2 A Active
Three Peaks Advisors. LLC
CRD: 167422
 - 0 0 - Unknown
Three Peaks Capital Management, LLC
CRD: 127402
 - 0 1 - Unknown
Three Phases Wealth Advisors LLC
CRD: 338143
 - 0 3 - Unknown
Three Point Capital GP, Ltd.
CRD: 318042
 - 0 1 - Unknown
Three Points Financial, Inc.
CRD: 132897
 - 0 0 - Unknown
Three Rivers Brokerage, LLC
CRD: 157953
 - 0 0 A INACTIVE
Three Rivers Executive Consulting, LLC
CRD: 311549
 - 0 1 - Unknown
Three Rivers Fund Advisors, LLC
CRD: 168454
 - 0 1 - Unknown
Three Rivers Partners LLC
CRD: 130244
 - 0 0 A INACTIVE
Three Rivers Securities LLC
CRD: 107887
 - 0 0 A INACTIVE
Three Seasons Capital, LLC
CRD: 311459
 - 0 0 - Unknown
Three Seasons Wealth
CRD: 326517
 - 0 3 - Unknown
Three Sheep Wealth Management, LLC
CRD: 335741
 - 0 1 - Unknown
Three Sigma Capital, LLC
CRD: 154013
 - 0 2 - Unknown
Three Sigma Solutions
CRD: 329374
 - 0 0 - Unknown
Three Sixty Wealth Management, LLC
CRD: 301007
 - 0 2 - Unknown
Three State Capital, LLC
CRD: 307124
 - 0 0 - Unknown
Three Stones Capital Limited
CRD: 281434
 - 0 0 - Unknown
Three Strand Wealth Partners
CRD: 334884
 - 0 0 - Unknown
Three Twenty ONE Financial Outfitters
CRD: 317493
 - 0 0 - Unknown
Three Waters Financial
CRD: 312566
 - 0 1 - Unknown
Three Zero Three Capital Partners, LLC
CRD: 138117
 - 0 0 - Unknown
Three-Sixty Health Venture Partners, LLC
CRD: 297546
 - 0 1 - Unknown
Three-Sixty Wealth Management, LLC.
CRD: 339056
 - 0 1 - Unknown
Threefifty Capital, LLC
CRD: 312673
 - 0 1 - Unknown
Threem Holding Ltd
CRD: 341125
 - 0 1 - Unknown
Threeridge Capital, LLC
CRD: 194522
 - 0 0 - Unknown
Threshold Capital Corp.
CRD: 140437
 - 0 0 - Unknown
Page 1431 of 1601 (80,028 total)
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