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 |
|---|---|---|---|---|---|
| Tribute TAX & Advisory CRD: 309557 | - | 0 | 0 | - | Unknown |
| Trica Wealth Planning, LLC CRD: 341055 | - | 0 | 1 | - | Unknown |
| Tricadia CDO Management, LLC CRD: 128838 | - | 0 | 0 | - | Unknown |
| Tricapital Advisors Inc CRD: 109224 | - | 0 | 0 | - | Unknown |
| Tricapital Corporation CRD: 39686 | - | 0 | 0 | A | INACTIVE |
| Tricapital Wealth Management, Inc. CRD: 118788 | - | 0 | 1 | - | Unknown |
| Tricolor Capital Advisors LLC CRD: 318324 | - | 0 | 0 | - | Unknown |
| Tricon CRD: 160558 | - | 0 | 0 | - | Unknown |
| Tricor Financial, LLC CRD: 142518 | - | 6 | 0 | D | INACTIVE |
| Tricord Advisors, Inc. CRD: 155749 | - | 0 | 2 | - | Unknown |
| Tricord Investment Advisors, Inc. CRD: 131613 | - | 0 | 2 | - | Unknown |
| Tricord Wealth Advisors CRD: 119921 | - | 0 | 2 | - | Unknown |
| Tricorp Securities, Ltd. CRD: 14548 | - | 0 | 0 | A | INACTIVE |
| Tricrest Management LLC CRD: 341870 | - | 0 | 1 | - | Unknown |
| Tridelta Capital Advisors LLC CRD: 168784 | - | 0 | 0 | - | Unknown |
| Trident Advantage Group, LLC CRD: 166592 | - | 0 | 1 | - | Unknown |
| Trident Advisors Inc CRD: 108920 | - | 0 | 1 | - | Unknown |
| Trident Advisors LLC CRD: 145231 | - | 0 | 1 | - | Unknown |
| Trident Advisory Partners, LLC CRD: 326959 | - | 0 | 2 | - | Unknown |
| Trident Capital Advisors, LLC CRD: 305177 | - | 0 | 1 | - | Unknown |
| Trident Capital Management, LLC CRD: 125483 | - | 0 | 0 | - | Unknown |
| Trident Capital, Inc. CRD: 160095 | - | 0 | 1 | - | Unknown |
| Trident Financial Planning CRD: 284042 | - | 0 | 0 | - | Unknown |
| Trident Investment Management, LLC CRD: 159185 | - | 0 | 0 | - | Unknown |
| Trident Management LLC CRD: 319632 | - | 0 | 1 | - | Unknown |
| Trident OS, LLC CRD: 302054 | - | 0 | 0 | - | Unknown |
| Trident Partners Ltd. CRD: 41258 | NY | 9 | 4 | B | Active |
| Trident Securities, Inc. CRD: 8728 | - | 0 | 0 | A | INACTIVE |
| Trident Wealth Management, LLC CRD: 142636 | - | 0 | 1 | - | Unknown |
| Tridentium Capital LLC CRD: 287957 | - | 0 | 0 | - | Unknown |
| Tridentvest CRD: 336510 | - | 0 | 1 | - | Unknown |
| Trient Asset Management as CRD: 165347 | - | 0 | 0 | - | Unknown |
| Triequa Capital Corporation CRD: 13101 | - | 0 | 0 | A | INACTIVE |
| Trier Management, Inc. CRD: 326729 | - | 0 | 1 | - | Unknown |
| Trieste Capital LLC CRD: 153084 | - | 0 | 1 | - | Unknown |
| Triex Financial Services, Inc. CRD: 158822 | - | 0 | 1 | - | Unknown |
| Trifecta Capital Advisors, LLC CRD: 317391 | - | 0 | 3 | - | Unknown |
| Trifecta Capital LLC CRD: 171721 | - | 0 | 1 | - | Unknown |
| Triflame Capital CRD: 332465 | - | 0 | 1 | - | Unknown |
| Triforce Financial CRD: 287506 | - | 0 | 0 | - | Unknown |
| Trigate Management LLC CRD: 158083 | - | 0 | 1 | - | Unknown |
| Trigem Amerstock Corporation CRD: 10915 | - | 0 | 0 | A | INACTIVE |
| Trigofi CRD: 315922 | - | 0 | 2 | - | Unknown |
| Trigon Investment Advisors AG CRD: 286220 | - | 0 | 0 | - | Unknown |
| Trigran Investments, Inc. CRD: 155200 | - | 0 | 1 | - | Unknown |
| Triguard Management LLC CRD: 159472 | - | 0 | 1 | - | Unknown |
| Trihelix Wealth Collective CRD: 337883 | - | 0 | 3 | - | Unknown |
| Trijordy Partners CRD: 31936 | - | 1 | 0 | B | INACTIVE |
| Trikon Asset Management Limited CRD: 298505 | - | 0 | 0 | - | Unknown |
| Trilantic Capital Management GP Limited CRD: 297829 | - | 0 | 0 | - | Unknown |