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 |
|---|---|---|---|---|---|
| Traveka Wealth, LLC CRD: 328421 | - | 0 | 2 | - | Unknown |
| Traveller Capital Advisors, LLC CRD: 169079 | - | 0 | 0 | - | Unknown |
| Traver Financial Consulting Network PA CRD: 139459 | - | 0 | 1 | - | Unknown |
| Traverse Private Wealth CRD: 329996 | - | 0 | 1 | - | Unknown |
| Traverse Securities Corporation CRD: 12974 | - | 0 | 0 | A | INACTIVE |
| Traverse Venture Partners, LLC CRD: 283089 | - | 0 | 0 | - | Unknown |
| Traverse Wealth CRD: 138003 | - | 0 | 0 | - | Unknown |
| Traversi Capital Advisors, LLC CRD: 152915 | - | 0 | 0 | A | INACTIVE |
| Traverso Chambers Private Wealth Management, LLC CRD: 294019 | - | 0 | 0 | - | Unknown |
| Travis Capital, Inc. CRD: 18186 | - | 0 | 0 | A | INACTIVE |
| Travis Morgan Securities Inc. CRD: 29088 | - | 5 | 0 | C | INACTIVE |
| Travis Street Advisors CRD: 112251 | - | 0 | 0 | - | Unknown |
| Traweek Securities, Inc. CRD: 14987 | - | 0 | 0 | A | INACTIVE |
| Trawler Capital Management LLC CRD: 286000 | - | 0 | 0 | - | Unknown |
| Traxion Capital Partners MGT, LLC CRD: 327248 | - | 0 | 1 | - | Unknown |
| Traynor Capital Management CRD: 138881 | - | 0 | 3 | - | Unknown |
| TRB Capital Markets, LLC CRD: 322618 | TX | 0 | 11 | A | Active |
| TRB Wealth Management, LLC CRD: 309370 | - | 0 | 7 | - | Unknown |
| TRC Markets LLC CRD: 171272 | SC | 0 | 3 | A | Active |
| TRCM Capital Advisors LLC CRD: 341312 | - | 0 | 1 | - | Unknown |
| TRCM IM LLC CRD: 341510 | - | 0 | 1 | - | Unknown |
| TRE API Wealth Management, LLC CRD: 282554 | - | 0 | 2 | - | Unknown |
| Trea Capital Partners, S.V. S.A. CRD: 286081 | - | 0 | 0 | - | Unknown |
| Treacy Investment CRD: 298544 | - | 0 | 0 | - | Unknown |
| Treacy Investment CRD: 171015 | - | 0 | 0 | - | Unknown |
| Treasure Chest Financial CRD: 285517 | - | 0 | 2 | - | Unknown |
| Treasure Coast Financial Planning, Inc. CRD: 166684 | - | 0 | 1 | - | Unknown |
| Treasure Coast Resources,Inc. CRD: 14653 | - | 0 | 0 | A | INACTIVE |
| Treasure Coast Ventures, LLC CRD: 334040 | - | 0 | 1 | - | Unknown |
| Treasure Financial Corp. CRD: 38323 | - | 1 | 0 | B | INACTIVE |
| Treasure Investment Management, LLC CRD: 309258 | - | 0 | 1 | - | Unknown |
| Treasure Valley Financial Planning CRD: 341732 | - | 0 | 1 | - | Unknown |
| Treasury Brokerage CRD: 140855 | CA | 0 | 2 | A | Active |
| Treasury Foundations, Inc. CRD: 308006 | - | 0 | 0 | - | Unknown |
| Treasury Fund Management LLC CRD: 322087 | - | 0 | 1 | - | Unknown |
| Treasury Interactive Investment Advisers LLC CRD: 327585 | - | 0 | 1 | - | Unknown |
| Treasury Solutions, LLC CRD: 173708 | - | 0 | 0 | - | Unknown |
| Treasuryspring Management (Jersey) Limited CRD: 325662 | - | 0 | 0 | - | Unknown |
| Treaty OAK Equity LLC CRD: 300338 | - | 0 | 1 | - | Unknown |
| Treble Management, L.L.C. CRD: 315839 | - | 0 | 1 | - | Unknown |
| Trebuchet Capital Management, LP CRD: 292555 | - | 0 | 1 | - | Unknown |
| Trebuchet Consulting, LLC CRD: 166645 | - | 0 | 1 | - | Unknown |
| Treco Securities, Inc. CRD: 10514 | - | 0 | 0 | A | INACTIVE |
| Tred Avon Family Wealth, LLC CRD: 174115 | - | 0 | 1 | - | Unknown |
| Tree City Advisors, LLC CRD: 264795 | - | 0 | 0 | - | Unknown |
| Tree City Investments, Inc. CRD: 141279 | - | 0 | 1 | - | Unknown |
| Tree Fort Financial, Inc. CRD: 130087 | - | 0 | 0 | - | Unknown |
| Tree Line Advisors (Singapore) PTE. Ltd. CRD: 288064 | - | 0 | 0 | - | Unknown |
| Tree Line Capital Markets, LLC CRD: 317434 | CA | 0 | 2 | A | Active |
| Tree Line Capital Partners, LLC CRD: 173784 | - | 0 | 1 | - | Unknown |