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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Transgulf Municipal Securities Corp.
CRD: 14492
 - 0 0 A INACTIVE
Transinternational Securities
CRD: 14179
 - 0 0 A INACTIVE
Transition Equity Partners, LLC
CRD: 324358
 - 0 0 - Unknown
Transition Family Wealth
CRD: 331328
 - 0 1 - Unknown
Transition Financial Advisors Group, LLC
CRD: 116089
 - 0 6 - Unknown
Transition Financial Services, LLC
CRD: 143859
 - 0 0 - Unknown
Transition Global Management Limited
CRD: 331421
 - 0 0 - Unknown
Transition Investment Group, LLC
CRD: 277108
 - 0 0 - Unknown
Transition Planning & Guidance, LLC
CRD: 167866
 - 0 1 - Unknown
Transition Wealth Management LLC
CRD: 323637
 - 0 0 - Unknown
Transitional Broker LLC
CRD: 304313
 UT 0 4 A Active
Transitions Wealth Management, LLC
CRD: 107812
 - 0 0 - Unknown
Translink Capital Japan, LLC
CRD: 301360
 - 0 1 - Unknown
Translink Capital, LLC
CRD: 156262
 - 0 1 - Unknown
Transmarket Group L.L.C.
CRD: 15657
 - 9 0 D INACTIVE
Transmedia Capital, LLC
CRD: 243789
 - 0 1 - Unknown
Transmittal Securities Corporation
CRD: 3602
 - 11 0 D INACTIVE
Transnational Capital Corp.
CRD: 135306
 NY 0 3 A Active
Transnational Securities Inc.
CRD: 8594
 - 0 0 A INACTIVE
Transom Capital Group
CRD: 170459
 - 0 1 - Unknown
Transpacific Group LLC
CRD: 143869
 FL 0 2 A Active
Transparent 401K
CRD: 158308
 - 0 1 - Unknown
Transparent Investment Solutions LLC
CRD: 290286
 - 0 0 - Unknown
Transparent Value Advisors, LLC
CRD: 142117
 - 0 0 - Unknown
Transparent Wealth Consulting LLC
CRD: 283193
 - 0 1 - Unknown
Transparent Wealth Management, LLC
CRD: 328491
 - 0 0 - Unknown
Transparent Wealth Partners LLC
CRD: 308123
 - 0 0 - Unknown
Transparent Wealth Solutions
CRD: 335286
 - 0 2 - Unknown
Transparenza Advisors LLC
CRD: 331554
 - 0 2 - Unknown
Transportation Resource Partners
CRD: 160765
 - 0 0 - Unknown
Transportation Resource Partners III
CRD: 160766
 - 0 0 - Unknown
Transpose Platform Management, LLC
CRD: 287674
 - 0 1 - Unknown
Transwestern Capital Advisors, LLC
CRD: 141605
 - 0 1 - Unknown
Transwestern Capital Markets, LLC
CRD: 149210
 - 0 0 A INACTIVE
Transwestern Investments
CRD: 159520
 - 0 4 - Unknown
Transwestern Securities, Inc.
CRD: 15388
 - 0 0 A INACTIVE
Trapani Investment Corporation
CRD: 13752
 - 0 0 A INACTIVE
Traphagen Financial Group
CRD: 107764
 - 0 4 - Unknown
Trapital Ventures, LLC
CRD: 328112
 - 0 1 - Unknown
Trasatti Wealth Planning, LLC
CRD: 139668
 - 0 1 - Unknown
Trasimene Capital Management, LLC
CRD: 306793
 - 0 0 - Unknown
Traub and Company, Inc.
CRD: 4904
 - 0 0 A INACTIVE
Traub Capital Management
CRD: 136851
 - 0 3 - Unknown
Traub Trading, LLC
CRD: 31512
 - 0 0 A INACTIVE
Traub, Michael Joseph
CRD: 124517
 - 0 0 A INACTIVE
Traubner Bach Co., Inc.
CRD: 14368
 - 0 0 A INACTIVE
Traust Sollus Wealth Management, LLC
CRD: 108918
 - 0 0 - Unknown
Trautman Wasserman & Company, Inc.
CRD: 33007
 - 17 0 D INACTIVE
Travaglini & Co., Inc.
CRD: 14456
 - 0 0 A INACTIVE
Travco Financial Group, Inc.
CRD: 30393
 - 0 0 A INACTIVE
Page 1453 of 1601 (80,028 total)
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