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 |
|---|---|---|---|---|---|
| Banyan Securities, LLC CRD: 22395 | CA | 6 | 2 | C | Active |
| Banyan Tree Asset Management, LLC CRD: 168384 | - | 0 | 1 | - | Unknown |
| Banyan Tree Investment Consulting, LLC CRD: 285320 | - | 0 | 0 | - | Unknown |
| Banyan Tree Securities, LLC CRD: 171479 | CA | 0 | 2 | A | Active |
| Banyan Ventures Management LLC CRD: 334061 | - | 0 | 1 | - | Unknown |
| Banyantree Capital Advisors LLC CRD: 146347 | - | 0 | 0 | - | Unknown |
| Banyantree Wealth Management CRD: 319713 | - | 0 | 1 | - | Unknown |
| BAO, LEI CRD: 342858 | - | 0 | 1 | - | Unknown |
| Baobab Financial Advisory LLC CRD: 324298 | - | 0 | 0 | - | Unknown |
| Baobab Wealth Management CRD: 333561 | - | 0 | 4 | - | Unknown |
| Baofin Financial Consultants, LLC CRD: 310748 | - | 0 | 0 | - | Unknown |
| Baomap Advisors Limited CRD: 285382 | - | 0 | 0 | - | Unknown |
| BAP Management Corporation CRD: 11735 | - | 0 | 0 | A | INACTIVE |
| Bapcd, Inc. CRD: 169148 | - | 0 | 2 | - | Unknown |
| Bapna Capital Management, LLC CRD: 319480 | - | 0 | 1 | - | Unknown |
| BAR Point Management Limited Partnership CRD: 329020 | - | 0 | 0 | - | Unknown |
| Barac Capital Management, LLC CRD: 166442 | - | 0 | 1 | - | Unknown |
| Barak Asset Management LLC CRD: 142251 | - | 0 | 2 | - | Unknown |
| Barak Fund Management CRD: 282917 | - | 0 | 0 | - | Unknown |
| Barbara ANN Gross Financial Advisor CRD: 294832 | - | 0 | 0 | - | Unknown |
| Barbara J. Bouchey Asset Management, Inc. CRD: 120034 | - | 0 | 1 | - | Unknown |
| Barbara S. Gault CRD: 128433 | - | 0 | 2 | - | Unknown |
| Barbco Financial CRD: 332386 | - | 0 | 1 | - | Unknown |
| Barber & Associates CRD: 154678 | - | 0 | 2 | - | Unknown |
| Barber & Bronson Incorporated CRD: 26582 | - | 0 | 0 | A | INACTIVE |
| Barber & Kane Incorporated CRD: 14547 | - | 0 | 0 | A | INACTIVE |
| Barber Financial Group CRD: 152043 | - | 0 | 0 | - | Unknown |
| Barber Lackey Financial Group LLC CRD: 126989 | - | 0 | 0 | - | Unknown |
| Barc Capital Management LP CRD: 282445 | - | 0 | 0 | - | Unknown |
| Barc Partners LLC CRD: 282444 | - | 0 | 0 | - | Unknown |
| Barca Capital, LLC CRD: 263786 | - | 0 | 1 | - | Unknown |
| Barcan Associates Ltd. CRD: 10110 | - | 0 | 0 | A | INACTIVE |
| Barcelona Partners CRD: 270000 | - | 0 | 0 | - | Unknown |
| Barclay Breland Family Office CRD: 168626 | - | 0 | 0 | - | Unknown |
| Barclay Financial Corp. CRD: 8175 | - | 0 | 0 | A | INACTIVE |
| Barclay Group Securities, Inc. CRD: 37371 | - | 0 | 0 | A | INACTIVE |
| Barclay Investments LLC CRD: 6159 | - | 6 | 0 | D | INACTIVE |
| Barclays Capital Inc. CRD: 19714 | NY | 164 | 19 | D | Active |
| Barclays DE Zoete Wedd Incorporated CRD: 16080 | - | 0 | 0 | A | INACTIVE |
| Barclays Investor Services, Inc. CRD: 18395 | - | 0 | 0 | A | INACTIVE |
| Bard Associates Inc CRD: 104984 | - | 0 | 2 | - | Unknown |
| Bard Financial Services, Inc. CRD: 110017 | - | 0 | 0 | - | Unknown |
| Bard Investment Group, LLC CRD: 339071 | - | 0 | 1 | - | Unknown |
| Bard Partners LLC CRD: 310269 | - | 0 | 1 | - | Unknown |
| Barden Capital Management, Inc. CRD: 141769 | - | 0 | 3 | - | Unknown |
| Bardi Co. LLC CRD: 166134 | CA | 0 | 6 | A | Active |
| Bardin Hill Arbitrage IC Management LP CRD: 169933 | - | 0 | 0 | - | Unknown |
| Bardown Capital LLC CRD: 158970 | - | 0 | 0 | A | INACTIVE |
| Bare Ventures CRD: 324976 | - | 0 | 1 | - | Unknown |
| Bare Wealth Advisors CRD: 328043 | - | 0 | 1 | - | Unknown |