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 |
|---|---|---|---|---|---|
| TOP Capital Advisors, Inc. CRD: 166881 | CA | 0 | 2 | A | Active |
| TOP Corner Capital LLC CRD: 309476 | - | 0 | 1 | - | Unknown |
| TOP GUN Financial Planning CRD: 140834 | - | 0 | 0 | - | Unknown |
| TOP Harvest Capital, L.L.C. CRD: 315363 | - | 0 | 1 | - | Unknown |
| TOP HAT Fund Manager, LLC CRD: 328684 | - | 0 | 1 | - | Unknown |
| TOP Mark Capital Management CRD: 319106 | - | 0 | 1 | - | Unknown |
| TOP Private Wealth CRD: 331000 | - | 0 | 1 | - | Unknown |
| TOP Rank Wealth Management, LLC CRD: 341288 | - | 0 | 1 | - | Unknown |
| TOP Shelf Advisors CRD: 316463 | - | 0 | 1 | - | Unknown |
| TOP Tier Capital Partners, LLC CRD: 144546 | - | 0 | 1 | - | Unknown |
| TOP-Down Technicals LLC CRD: 172762 | - | 0 | 0 | - | Unknown |
| Topa Topa Capital CRD: 332206 | - | 0 | 0 | - | Unknown |
| Topaz Asset Management CRD: 315029 | - | 0 | 0 | - | Unknown |
| Topaz Investment Advisors, LLC CRD: 120124 | - | 0 | 0 | - | Unknown |
| Topcap Partners, Inc. CRD: 283457 | NY | 0 | 2 | A | Active |
| Topeka Capital Markets Inc. CRD: 154133 | - | 0 | 0 | A | INACTIVE |
| Topel & Distasi Wealth Management, LLC CRD: 285538 | - | 0 | 2 | - | Unknown |
| Topia Ventures Advisors, LP CRD: 313252 | - | 0 | 0 | - | Unknown |
| Topiary Capital Management, LLC CRD: 309488 | - | 0 | 1 | - | Unknown |
| Topline Capital Management, LLC CRD: 298981 | - | 0 | 1 | - | Unknown |
| Topology Ventures, LLC CRD: 331895 | - | 0 | 1 | - | Unknown |
| Toprac Financial LLC CRD: 335293 | - | 0 | 1 | - | Unknown |
| Topsail Wealth Management LLC CRD: 331098 | - | 0 | 3 | - | Unknown |
| Topspin Management Company LBO LLC CRD: 161399 | - | 0 | 1 | - | Unknown |
| Topspin Management Company LLC CRD: 167763 | - | 0 | 0 | - | Unknown |
| Toptier Wealth Management CRD: 292959 | - | 0 | 2 | - | Unknown |
| Topturn Capital, LLC CRD: 151464 | - | 0 | 2 | - | Unknown |
| Topturn Fund Advisors, LLC CRD: 175325 | - | 0 | 0 | - | Unknown |
| Topyield Consulting CRD: 311627 | - | 0 | 0 | - | Unknown |
| TOR Brokerage LLC CRD: 135274 | NJ | 1 | 1 | B | Active |
| TOR Investment Management (Hong Kong) Limited CRD: 168762 | - | 0 | 0 | - | Unknown |
| TOR View Capital, LLC CRD: 298737 | - | 0 | 0 | - | Unknown |
| TOR Wealth Advisors, LLC CRD: 319761 | - | 0 | 1 | - | Unknown |
| Tora Capital, LLC CRD: 152519 | - | 0 | 0 | - | Unknown |
| Tora Trading Services, LLC CRD: 135423 | NY | 0 | 3 | A | Active |
| Torana Group LLC CRD: 335285 | - | 0 | 1 | - | Unknown |
| Torc Investments and Research LLC CRD: 103724 | - | 5 | 0 | C | INACTIVE |
| Torch Capital Corporation CRD: 47358 | - | 0 | 0 | A | INACTIVE |
| Torch Hill Investment Partners CRD: 161433 | - | 0 | 1 | - | Unknown |
| Torch KEY Asset Management, LLC CRD: 341509 | - | 0 | 1 | - | Unknown |
| Torch Partners Corporate Finance Inc CRD: 159175 | - | 0 | 0 | A | Active |
| Torch Securities, LLC CRD: 133642 | - | 3 | 0 | C | INACTIVE |
| Torch Wealth Management LLC CRD: 168815 | - | 0 | 0 | - | Unknown |
| Torchlight Financial CRD: 156559 | - | 0 | 1 | - | Unknown |
| Torchlight Investors, LLC CRD: 111289 | - | 0 | 1 | - | Unknown |
| Torchmark Distributors, Inc. CRD: 19589 | - | 0 | 0 | A | INACTIVE |
| Tordesilhas Capital Gestora DE Recursos Ltda CRD: 298484 | - | 0 | 0 | - | Unknown |
| Tore Services, LLC CRD: 147421 | - | 0 | 0 | A | INACTIVE |
| Torfex Ltd. CRD: 337983 | - | 0 | 1 | - | Unknown |
| Tori CRD: 308086 | - | 0 | 1 | - | Unknown |