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 |
|---|---|---|---|---|---|
| Tiaa Advisory, LLC CRD: 290120 | - | 0 | 0 | - | Unknown |
| Tiaa Kaspick, LLC CRD: 104554 | - | 0 | 1 | - | Unknown |
| Tiaa Wealth Investment Management LLC CRD: 334925 | - | 0 | 14 | - | Unknown |
| Tiaa Wealth Management LLC CRD: 335081 | - | 0 | 0 | - | Unknown |
| Tiaa-Cref Individual & Institutional Services, LLC CRD: 20472 | NY | 12 | 1,831 | B | Active |
| Tiaa-Cref Investment Management LLC CRD: 107168 | - | 0 | 1 | - | Unknown |
| Tiaa-Cref Tuition Financing, Inc. CRD: 108580 | - | 0 | 1 | - | Unknown |
| Tian Capital LLC CRD: 283207 | - | 0 | 2 | - | Unknown |
| Tianhu Investments CRD: 322665 | - | 0 | 1 | - | Unknown |
| Tianyan Capital Limited CRD: 322759 | - | 0 | 0 | - | Unknown |
| Tiara Capital Group Limited CRD: 170120 | - | 0 | 0 | - | Unknown |
| Tias Planners CRD: 122348 | - | 0 | 2 | - | Unknown |
| Tiber Capital Management, LLC CRD: 281053 | - | 0 | 0 | - | Unknown |
| Tiberia Capital, LLC CRD: 334100 | - | 0 | 1 | - | Unknown |
| Tiberius Asset Management AG CRD: 161484 | - | 0 | 0 | - | Unknown |
| Tibra Trading America LLC CRD: 151529 | - | 1 | 0 | B | INACTIVE |
| Tiburon Capital Advisors LLC CRD: 331466 | - | 0 | 1 | - | Unknown |
| Tiburon Capital Management, LLC CRD: 153276 | - | 0 | 0 | - | Unknown |
| Tiburon Capital Partners LLC CRD: 336222 | - | 0 | 1 | - | Unknown |
| Tiburon Financial Advisors, Inc. CRD: 304363 | - | 0 | 1 | - | Unknown |
| Tiburon Fund Trading, L.L.C. CRD: 46438 | - | 0 | 0 | A | INACTIVE |
| Tiburon Research Group CRD: 142144 | - | 0 | 1 | - | Unknown |
| Tiburon Securities, Inc. CRD: 16245 | - | 0 | 0 | A | INACTIVE |
| Tiche Capital Strategies LLC CRD: 104291 | - | 4 | 0 | C | INACTIVE |
| Ticino Wealth CRD: 335808 | - | 0 | 1 | - | Unknown |
| Ticker Tocker, LLC CRD: 289111 | - | 0 | 0 | - | Unknown |
| Tickeron, Inc. CRD: 170121 | - | 0 | 0 | - | Unknown |
| Tickertrends CRD: 328614 | - | 0 | 1 | - | Unknown |
| Tickrs Advisors LLC CRD: 322679 | - | 0 | 0 | - | Unknown |
| Tickrs Clearing CRD: 312531 | CA | 0 | 2 | A | Active |
| Ticonderoga Securities Corp. CRD: 18055 | - | 0 | 0 | A | INACTIVE |
| Ticonderoga Securities LLC CRD: 7671 | - | 7 | 0 | D | INACTIVE |
| Ticor Securities Company CRD: 10252 | - | 0 | 0 | A | INACTIVE |
| Tidal Asset Management, Inc. CRD: 153174 | - | 0 | 0 | - | Unknown |
| Tidal Creek Capital Advisors CRD: 287840 | - | 0 | 2 | - | Unknown |
| Tidal Fund Manager LLC CRD: 324727 | - | 0 | 1 | - | Unknown |
| Tidal Impact CRD: 323862 | - | 0 | 0 | - | Unknown |
| Tidal Investments LLC CRD: 164201 | - | 0 | 1 | - | Unknown |
| Tidal Partners CRD: 323885 | CA | 0 | 4 | A | Active |
| Tidan Capital AB CRD: 336551 | - | 0 | 0 | - | Unknown |
| Tidd Capital, LLC CRD: 132298 | - | 0 | 0 | - | Unknown |
| Tidd, Lackey and Co., Inc. CRD: 16014 | - | 0 | 0 | A | INACTIVE |
| Tide Capital Management LLC CRD: 321931 | - | 0 | 0 | - | Unknown |
| Tide Cove Capital Partners LLC CRD: 327373 | - | 0 | 2 | - | Unknown |
| Tide Cycle Resources LLC CRD: 330698 | - | 0 | 1 | - | Unknown |
| Tide Point Capital Management, LP CRD: 164811 | - | 0 | 0 | - | Unknown |
| Tide Pool Capital LLC CRD: 172223 | - | 0 | 0 | - | Unknown |
| Tide Rock Leverageco Manager, LLC CRD: 342458 | - | 0 | 1 | - | Unknown |
| Tidechange Capital Partners, LLC CRD: 164127 | - | 0 | 0 | - | Unknown |
| Tidecrest Wealth Management, LLC CRD: 332422 | - | 0 | 1 | - | Unknown |