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 |
|---|---|---|---|---|---|
| Transact (USA) Limited CRD: 16771 | - | 0 | 0 | A | INACTIVE |
| Transact Capital Securities, LLC CRD: 133822 | VA | 0 | 2 | A | Active |
| Transaction Services Inc. CRD: 16034 | - | 0 | 0 | A | INACTIVE |
| Transactiondrivers LLC CRD: 35213 | CA | 0 | 2 | A | Active |
| Transamerica Asset Management, Inc. CRD: 107376 | - | 0 | 1 | - | Unknown |
| Transamerica Capital, LLC CRD: 8217 | CO | 4 | 4 | C | Active |
| Transamerica Financial Advisors, Inc. CRD: 3600 | - | 3 | 0 | C | INACTIVE |
| Transamerica Financial Advisors, LLC CRD: 16164 | PA | 22 | 343 | B | Active |
| Transamerica Fund Distributors, Inc. CRD: 3554 | - | 0 | 0 | A | INACTIVE |
| Transamerica Investors Securities, LLC CRD: 32205 | NY | 1 | 27 | B | Active |
| Transamerica Retirement Advisors, LLC CRD: 107319 | - | 0 | 306 | - | Unknown |
| Transamerica Securities Sales Corporation CRD: 17970 | - | 0 | 0 | A | INACTIVE |
| Transamerican Securities Company CRD: 14173 | - | 0 | 0 | A | INACTIVE |
| Transasia Private Capital CRD: 306916 | - | 0 | 0 | - | Unknown |
| Transatlantic Highway Ventures, LLC CRD: 340143 | - | 0 | 0 | - | Unknown |
| Transatlantique Private Wealth LLC CRD: 169820 | - | 0 | 4 | - | Unknown |
| Transcapital L.P. CRD: 291111 | - | 0 | 0 | - | Unknown |
| Transcapital Securities, Inc. CRD: 10642 | - | 0 | 0 | A | INACTIVE |
| Transce3ND LLC CRD: 317745 | - | 0 | 32 | - | Unknown |
| Transcend Advisor Group, LLC CRD: 311746 | - | 0 | 4 | - | Unknown |
| Transcend Advisor Inc. CRD: 328253 | - | 0 | 1 | - | Unknown |
| Transcend AI CRD: 332999 | - | 0 | 1 | - | Unknown |
| Transcend AI, LLC CRD: 310876 | - | 0 | 0 | - | Unknown |
| Transcend Capital CRD: 104483 | - | 4 | 0 | C | INACTIVE |
| Transcend Capital Advisors, LLC CRD: 299723 | - | 0 | 12 | - | Unknown |
| Transcend Financial Advisors Inc. CRD: 297715 | - | 0 | 0 | - | Unknown |
| Transcend Management, LLC CRD: 308595 | - | 0 | 1 | - | Unknown |
| Transcend Wealth CRD: 292210 | - | 0 | 1 | - | Unknown |
| Transcend Wealth Collective Investment Management,… CRD: 310568 | - | 0 | 0 | - | Unknown |
| Transcendent Capital Group CRD: 316872 | - | 0 | 2 | - | Unknown |
| Transcendent Investment Advisors, LLC CRD: 339733 | - | 0 | 1 | - | Unknown |
| Transcendent Investment Management, LLC CRD: 170083 | - | 0 | 0 | - | Unknown |
| Transcendental Financial Planning L.L.C. CRD: 310683 | - | 0 | 0 | - | Unknown |
| Transco Equity Corporation CRD: 15227 | - | 0 | 0 | A | INACTIVE |
| Transco Securities CRD: 15966 | - | 0 | 0 | A | INACTIVE |
| Transcontinental Capital Partners CRD: 33064 | - | 0 | 0 | A | INACTIVE |
| Transform Capital CRD: 306716 | - | 0 | 0 | - | Unknown |
| Transform Capital CRD: 318152 | - | 0 | 1 | - | Unknown |
| Transform Capital Management LLC CRD: 318585 | - | 0 | 1 | - | Unknown |
| Transform Retirement CRD: 317252 | - | 0 | 2 | - | Unknown |
| Transform Wealth, LLC CRD: 283403 | - | 0 | 0 | - | Unknown |
| Transformation Capital CRD: 307367 | - | 0 | 1 | - | Unknown |
| Transformation Wealth Management, LLC CRD: 309299 | - | 0 | 1 | - | Unknown |
| Transformational Wealth LLC CRD: 290261 | - | 0 | 0 | - | Unknown |
| Transformative Wealth Consulting Group LLC CRD: 295843 | - | 0 | 0 | - | Unknown |
| Transformative Wealth Management LLC CRD: 283660 | - | 0 | 0 | - | Unknown |
| Transglobal Advisory, LLC CRD: 168709 | - | 0 | 13 | - | Unknown |
| Transglobal Capital Corporation CRD: 33347 | - | 1 | 0 | B | INACTIVE |
| Transglobal Investments Inc. CRD: 29290 | - | 0 | 0 | A | INACTIVE |
| Transgroup Securities Corporation CRD: 13026 | - | 0 | 0 | A | INACTIVE |