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 |
|---|---|---|---|---|---|
| Triagen Wealth Management LLC CRD: 308457 | - | 0 | 1 | - | Unknown |
| Triago CRD: 143529 | - | 0 | 0 | A | INACTIVE |
| Triago LLC CRD: 135956 | - | 0 | 0 | A | INACTIVE |
| Trian Fund Management, L.P. CRD: 154172 | - | 0 | 1 | - | Unknown |
| Triangle Capital Corporation CRD: 163039 | - | 0 | 0 | - | Unknown |
| Triangle Capital Partners, LLC CRD: 120122 | - | 0 | 0 | A | INACTIVE |
| Triangle Capital Securities Corporation CRD: 13757 | - | 0 | 0 | A | INACTIVE |
| Triangle Investment Management, LLC CRD: 329567 | - | 0 | 1 | - | Unknown |
| Triangle NEW England Securities, Inc. CRD: 16026 | - | 0 | 0 | A | INACTIVE |
| Triangle Peak Partners, LP CRD: 147917 | - | 0 | 1 | - | Unknown |
| Triangle Securities, LLC CRD: 104039 | - | 0 | 0 | A | INACTIVE |
| Triangle Trading, L.L.C. CRD: 41318 | - | 0 | 0 | A | INACTIVE |
| Triangle Tweener Fund, LLC CRD: 318464 | - | 0 | 1 | - | Unknown |
| Triangle Wealth Management CRD: 131403 | - | 0 | 0 | - | Unknown |
| Triangle Wealth Management CRD: 148156 | - | 0 | 1 | - | Unknown |
| Triangulated Capital Management, LLC CRD: 323119 | - | 0 | 1 | - | Unknown |
| Triangulum Wealth Management CRD: 306929 | - | 0 | 1 | - | Unknown |
| Triant Capital Management, LLC CRD: 315774 | - | 0 | 0 | - | Unknown |
| Triarii Capital Management LP CRD: 282414 | - | 0 | 0 | - | Unknown |
| Triartisan Capital Advisors LLC CRD: 324138 | - | 0 | 1 | - | Unknown |
| Triartisan Capital Management LLC CRD: 295873 | - | 0 | 0 | - | Unknown |
| Triasima Portfolio Management Inc. CRD: 304577 | - | 0 | 0 | - | Unknown |
| Triata Capital CRD: 310616 | - | 0 | 0 | - | Unknown |
| Triathlon Investment Management LLC CRD: 136850 | - | 0 | 0 | - | Unknown |
| Triathlon Partners LLC CRD: 329350 | - | 0 | 1 | - | Unknown |
| Triatomic Capital CRD: 312408 | - | 0 | 1 | - | Unknown |
| Triavera Capital LLC CRD: 329548 | - | 0 | 1 | - | Unknown |
| Triaxiom Capital, LLC CRD: 298263 | - | 0 | 2 | - | Unknown |
| Triaxx Asset Management LLC CRD: 137140 | - | 0 | 1 | - | Unknown |
| Tribble Financial Planning CRD: 326576 | - | 0 | 1 | - | Unknown |
| Tribe Capital CRD: 304697 | - | 0 | 1 | - | Unknown |
| Tribe Capital Partners, LLC CRD: 298638 | - | 0 | 0 | - | Unknown |
| Tribeca Financial Planning LLC CRD: 126085 | - | 0 | 0 | - | Unknown |
| Tribeca Financial, LLC CRD: 113245 | - | 0 | 5 | - | Unknown |
| Tribeca Investment Inc. CRD: 335369 | - | 0 | 1 | - | Unknown |
| Tribeca Investment Partners PTY Ltd CRD: 164313 | - | 0 | 0 | - | Unknown |
| Tribeca Investments, L.L.C. CRD: 40631 | - | 1 | 0 | B | INACTIVE |
| Tribeca Securities LLC CRD: 130855 | - | 0 | 0 | A | INACTIVE |
| Tribeca Securities, Inc. CRD: 25640 | - | 0 | 0 | A | INACTIVE |
| Tribeca Venture Partners CRD: 162988 | - | 0 | 1 | - | Unknown |
| Tribelet Capital Management PTY Ltd CRD: 297481 | - | 0 | 0 | - | Unknown |
| Triboro Investment Management, LLC CRD: 167591 | - | 0 | 0 | - | Unknown |
| Tribridge Fund Manager, LLC CRD: 173133 | - | 0 | 0 | - | Unknown |
| Tribridge Partners Financial LLC CRD: 326489 | - | 0 | 1 | - | Unknown |
| Tribune Capital Partners CRD: 284410 | - | 0 | 0 | - | Unknown |
| Tribune Financial LLC CRD: 161252 | - | 0 | 0 | - | Unknown |
| Tribune Investment Group CRD: 329330 | - | 0 | 1 | - | Unknown |
| Tributaries Financial Planning LLC CRD: 338578 | - | 0 | 1 | - | Unknown |
| Tributary Capital Management, LLC CRD: 112528 | - | 0 | 3 | - | Unknown |
| Tributary Energy Management, LLC CRD: 307604 | - | 0 | 1 | - | Unknown |