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 |
|---|---|---|---|---|---|
| Trail Ridge Investment Advisors, LLC CRD: 284741 | - | 0 | 1 | - | Unknown |
| Trailblazer Capital CRD: 163845 | - | 0 | 0 | - | Unknown |
| Trailblazer Wealth Management CRD: 339852 | - | 0 | 1 | - | Unknown |
| Trailbrake Capital LLC CRD: 171511 | - | 0 | 0 | - | Unknown |
| Trailguide Financial, LLC CRD: 292417 | - | 0 | 0 | - | Unknown |
| Trailhead Capital CRD: 315272 | - | 0 | 1 | - | Unknown |
| Trailhead Pacific, LLC CRD: 290747 | - | 0 | 2 | - | Unknown |
| Trailhead Planners, LLC CRD: 284610 | - | 0 | 3 | - | Unknown |
| Traillour Securities, Inc. CRD: 14886 | - | 0 | 0 | A | INACTIVE |
| Trailmark Inc. CRD: 104408 | GA | 0 | 2 | A | Active |
| Trailpoint Financial Planning CRD: 310766 | - | 0 | 1 | - | Unknown |
| Trails Edge Capital Partners, LP CRD: 335659 | - | 0 | 1 | - | Unknown |
| Trails Edge Wealth Advisers, LLC CRD: 299466 | - | 0 | 1 | - | Unknown |
| Trailside Capital Corporation CRD: 37024 | - | 0 | 0 | A | INACTIVE |
| Trailwise Financial Partners, LLC CRD: 323530 | - | 0 | 4 | - | Unknown |
| Train, Babcock Advisors LLC CRD: 106018 | - | 0 | 0 | - | Unknown |
| Traina Investment Advisory CRD: 338943 | - | 0 | 1 | - | Unknown |
| Trainor Consulting CRD: 312591 | - | 0 | 2 | - | Unknown |
| Trajan Income, LLC CRD: 165382 | - | 0 | 0 | - | Unknown |
| Trajan Wealth, L.L.C. CRD: 158847 | - | 0 | 33 | - | Unknown |
| Trajectory Asset Management LLC CRD: 127826 | - | 0 | 0 | - | Unknown |
| Trajectory Financial Planning CRD: 321904 | - | 0 | 1 | - | Unknown |
| Trammcap CRD: 119756 | - | 0 | 0 | - | Unknown |
| Trammell Wealth CRD: 336817 | - | 0 | 1 | - | Unknown |
| Tramway Ventures, LLC CRD: 328442 | - | 0 | 1 | - | Unknown |
| Tran Capital Management, L.P. CRD: 107049 | - | 0 | 1 | - | Unknown |
| Tran Partnership, LLC CRD: 325388 | - | 0 | 1 | - | Unknown |
| Tranceka Capital, LLC CRD: 118028 | - | 1 | 0 | B | INACTIVE |
| Tranco CRD: 14347 | - | 0 | 0 | A | INACTIVE |
| Trancoso Capital Management, LLC CRD: 169372 | - | 0 | 1 | - | Unknown |
| Trane Capital, LLC CRD: 166255 | - | 0 | 1 | - | Unknown |
| Tranel Intelligent Investing, LLC CRD: 328546 | - | 0 | 0 | - | Unknown |
| Traner Smith Wealth Management, Inc. CRD: 153166 | - | 0 | 2 | - | Unknown |
| Tranguine Capital, LLC CRD: 313100 | - | 0 | 0 | - | Unknown |
| Tranquil Asset Management LLC CRD: 322619 | - | 0 | 0 | - | Unknown |
| Tranquil Asset Management LLC CRD: 332804 | - | 0 | 1 | - | Unknown |
| Tranquil Path Financial Planning CRD: 322455 | - | 0 | 1 | - | Unknown |
| Tranquility Financial Planning CRD: 281032 | - | 0 | 0 | - | Unknown |
| Tranquility Partners, LLC CRD: 283478 | - | 0 | 1 | - | Unknown |
| Tranquility Path Investment Advisors, LLC CRD: 156518 | - | 0 | 1 | - | Unknown |
| Tranquilli Financial Advisor, LLC CRD: 298056 | - | 0 | 4 | - | Unknown |
| Trans American Equities Corporation CRD: 15518 | - | 1 | 0 | B | INACTIVE |
| Trans Financial Investment Services, Inc. CRD: 36539 | - | 0 | 0 | A | INACTIVE |
| Trans Securities Incorporated CRD: 102140 | - | 0 | 0 | A | INACTIVE |
| Trans World Securities LLC CRD: 46740 | - | 2 | 0 | B | INACTIVE |
| Trans-Asset, LLC CRD: 132216 | - | 0 | 0 | - | Unknown |
| Trans-Corp Securities, Inc. CRD: 13315 | - | 0 | 0 | A | INACTIVE |
| Trans-Hudson, L.L.C. CRD: 33060 | - | 0 | 0 | A | INACTIVE |
| Trans-Nebraska Investments Company CRD: 14906 | - | 0 | 0 | A | INACTIVE |
| Trans-York Securities Corp. CRD: 14620 | - | 0 | 0 | A | INACTIVE |