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 |
|---|---|---|---|---|---|
| Barentsen Advisory Services, LLC CRD: 285676 | - | 0 | 1 | - | Unknown |
| Bares Capital Management, Inc. CRD: 114428 | - | 0 | 0 | - | Unknown |
| Barfield Wealth Management CRD: 170733 | - | 0 | 0 | - | Unknown |
| Barford, Gregory a. CPA CRD: 120937 | - | 0 | 0 | - | Unknown |
| Bargeld Financial CRD: 327633 | - | 0 | 1 | - | Unknown |
| Barger & Company CRD: 131687 | - | 0 | 0 | - | Unknown |
| Baril Advisors LLC CRD: 141736 | - | 0 | 0 | - | Unknown |
| Baring & Brown, Inc. CRD: 24929 | - | 0 | 0 | A | INACTIVE |
| Baring Asset Management Limited CRD: 162001 | - | 0 | 0 | - | Unknown |
| Baring Brothers & Co., Inc. CRD: 21162 | - | 0 | 0 | A | INACTIVE |
| Baring Financial LLC CRD: 173761 | - | 0 | 2 | - | Unknown |
| Baring International Fund Managers (Ireland) Limit… CRD: 300157 | - | 0 | 0 | - | Unknown |
| Baring International Investment Ltd CRD: 105724 | - | 0 | 0 | - | Unknown |
| Baring Investment Services, Inc. CRD: 29645 | - | 0 | 0 | A | INACTIVE |
| Baring Private Equity Partners (India) Limited CRD: 162157 | - | 0 | 0 | - | Unknown |
| Baring Vostok Capital Partners Group Limited CRD: 162482 | - | 0 | 0 | - | Unknown |
| Barings CRD: 299118 | - | 0 | 0 | - | Unknown |
| Barings (U.K.) Limited CRD: 158277 | - | 0 | 0 | - | Unknown |
| Barings Australia PTY Ltd CRD: 169697 | - | 0 | 0 | - | Unknown |
| Barings Global Advisers Limited CRD: 158278 | - | 0 | 0 | - | Unknown |
| Barings LLC CRD: 106006 | - | 0 | 1 | - | Unknown |
| Barings Securities LLC CRD: 36929 | NC | 0 | 3 | A | Active |
| Barington Capital Group, L.P. CRD: 29383 | - | 8 | 0 | D | INACTIVE |
| Barington Capital Management, LLC CRD: 282826 | - | 0 | 1 | - | Unknown |
| Barington Companies Investors, LLC CRD: 161305 | - | 0 | 1 | - | Unknown |
| Barinovs, Grigorijs CRD: 309072 | - | 0 | 0 | - | Unknown |
| Bariston Securities, Inc. CRD: 19194 | - | 0 | 0 | A | INACTIVE |
| Bark Securities, LLC CRD: 337787 | - | 0 | 1 | - | Unknown |
| Barker & Associates LLC CRD: 116209 | - | 0 | 0 | - | Unknown |
| Barker Financial Group, Inc. CRD: 116817 | - | 0 | 0 | - | Unknown |
| Barker Financial Management, Inc. CRD: 141795 | - | 0 | 0 | - | Unknown |
| Barker Investment Securities, Inc. CRD: 14820 | - | 0 | 0 | A | INACTIVE |
| Barker Wealth Management, LLC CRD: 226768 | - | 0 | 3 | - | Unknown |
| Barkey Financial, LLC CRD: 153866 | - | 0 | 0 | - | Unknown |
| Barking Sands Capital CRD: 141907 | - | 0 | 3 | - | Unknown |
| Barkley-Lockman Investments Inc. CRD: 21933 | - | 0 | 0 | A | INACTIVE |
| Barksdale Investment Management CRD: 105098 | - | 0 | 2 | - | Unknown |
| Barkston, LLC CRD: 318894 | - | 0 | 0 | - | Unknown |
| Barlas O'reilly Wealth Management, LLC CRD: 298413 | - | 0 | 3 | - | Unknown |
| Barlock Capital Management LLC CRD: 307466 | - | 0 | 1 | - | Unknown |
| Barlow Partners Inc CRD: 108338 | - | 0 | 0 | - | Unknown |
| Barlow Wealth Partners, LLC CRD: 325308 | - | 0 | 1 | - | Unknown |
| Barlow, Paul David CRD: 284512 | - | 0 | 1 | - | Unknown |
| Barmakian Securities Company CRD: 14242 | - | 0 | 0 | A | INACTIVE |
| Barnabas Capital, LLC CRD: 297890 | NC | 0 | 2 | A | Active |
| Barnai Asset Management CRD: 175217 | - | 0 | 1 | - | Unknown |
| Barnard Financial Group, LLC CRD: 335512 | - | 0 | 1 | - | Unknown |
| Barnard Securities Company CRD: 13998 | - | 0 | 0 | A | INACTIVE |
| Barnegat BAY Capital Management LLC CRD: 111798 | - | 0 | 1 | - | Unknown |
| Barnegat Fund Management Inc. CRD: 158347 | - | 0 | 1 | - | Unknown |