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 |
|---|---|---|---|---|---|
| Torus Capital LLC CRD: 131288 | - | 1 | 0 | B | INACTIVE |
| Torus Capital Management, LLC CRD: 291374 | - | 0 | 0 | - | Unknown |
| TOS Trading LLC CRD: 148080 | - | 0 | 0 | A | INACTIVE |
| Toscafund Asset Management CRD: 155132 | - | 0 | 0 | - | Unknown |
| Toscafund US Ltd. CRD: 327524 | - | 0 | 0 | - | Unknown |
| Toss Securities US LLC CRD: 333338 | NY | 0 | 2 | A | Active |
| Tossell, LLC CRD: 310861 | - | 0 | 0 | - | Unknown |
| Total Alignment Wealth Advisors, LLC CRD: 166538 | - | 0 | 4 | - | Unknown |
| Total Assets Management, Inc. CRD: 129050 | - | 0 | 1 | - | Unknown |
| Total Clarity Wealth Management, Inc CRD: 142728 | - | 0 | 17 | - | Unknown |
| Total Financial Advisors, LLC CRD: 143998 | - | 0 | 0 | - | Unknown |
| Total Financial Management, LLC CRD: 287489 | - | 0 | 1 | - | Unknown |
| Total Financial Planning, Inc. CRD: 114483 | - | 0 | 0 | - | Unknown |
| Total Financial Planning, LLC CRD: 122427 | - | 0 | 0 | - | Unknown |
| Total Financial Planning, LLC CRD: 286588 | - | 0 | 1 | - | Unknown |
| Total Impact Capital CRD: 299283 | - | 0 | 1 | - | Unknown |
| Total Investment Management, Inc. CRD: 108818 | - | 0 | 6 | - | Unknown |
| Total Investment Management, Inc. CRD: 17950 | - | 0 | 0 | A | INACTIVE |
| Total Portfolio Management, LLC CRD: 127596 | - | 0 | 0 | - | Unknown |
| Total Return Advisory CRD: 135985 | - | 0 | 0 | - | Unknown |
| Total Return Capital CRD: 291998 | - | 0 | 1 | - | Unknown |
| Total Wealth CRD: 328549 | - | 0 | 1 | - | Unknown |
| Total Wealth Advisors, LLC CRD: 164633 | - | 0 | 1 | - | Unknown |
| Total Wealth Partners CRD: 287725 | - | 0 | 1 | - | Unknown |
| Total Wealth Planning and Management, Inc. CRD: 166664 | - | 0 | 6 | - | Unknown |
| Total Wealth Planning, LLC CRD: 174434 | - | 0 | 0 | - | Unknown |
| Total Wealth Services, LLC CRD: 331833 | - | 0 | 2 | - | Unknown |
| Total Wealth Solutions CRD: 327794 | - | 0 | 1 | - | Unknown |
| Totem Macro Asset Management LP CRD: 328044 | - | 0 | 1 | - | Unknown |
| Totem Point Management, LLC CRD: 169824 | - | 0 | 1 | - | Unknown |
| Totem Wealth Management LLC CRD: 327820 | - | 0 | 2 | - | Unknown |
| Toth Capital Management CRD: 329639 | - | 0 | 0 | - | Unknown |
| Toth Financial Advisory Corp CRD: 104952 | - | 0 | 3 | - | Unknown |
| Toth, Wilbert & Hannon, Ltd. CRD: 25387 | - | 0 | 0 | A | INACTIVE |
| Totus Alpha Management PTY Ltd CRD: 333301 | - | 0 | 0 | - | Unknown |
| Toucan Financial, Inc. CRD: 321210 | - | 0 | 1 | - | Unknown |
| Touch Capital Management, LLC CRD: 322321 | - | 0 | 1 | - | Unknown |
| Touchdown Ventures Inc. CRD: 173022 | - | 0 | 0 | - | Unknown |
| Touchline Advisors LLC CRD: 334881 | - | 0 | 0 | - | Unknown |
| Touchpoint Securities Corp. CRD: 137224 | - | 0 | 0 | A | INACTIVE |
| Touchstone Advisors Inc CRD: 107028 | - | 0 | 28 | - | Unknown |
| Touchstone Capital Corporation CRD: 26380 | - | 0 | 0 | A | INACTIVE |
| Touchstone Capital, Inc. CRD: 282537 | - | 0 | 0 | - | Unknown |
| Touchstone Financial Management CRD: 148424 | - | 0 | 0 | - | Unknown |
| Touchstone Financial Planning CRD: 132010 | - | 0 | 1 | - | Unknown |
| Touchstone Securities, LLC CRD: 1526 | OH | 0 | 3 | A | Active |
| Touchstone Wealth Advisors LLC CRD: 311512 | - | 0 | 0 | - | Unknown |
| TOUCHTRADE.COM, Inc. CRD: 103870 | - | 4 | 0 | C | INACTIVE |
| Toumi (Cayman) Limited CRD: 290098 | - | 0 | 0 | - | Unknown |
| Toups Capital Advisors LLC CRD: 323564 | - | 0 | 2 | - | Unknown |