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 |
|---|---|---|---|---|---|
| Barnes & Company Investment Counsel, LLC CRD: 282136 | - | 0 | 1 | - | Unknown |
| Barnes Capital CRD: 140572 | - | 0 | 0 | - | Unknown |
| Barnes Dennig Private Wealth Management, LLC CRD: 328496 | - | 0 | 12 | - | Unknown |
| Barnes Financial CRD: 293369 | - | 0 | 0 | - | Unknown |
| Barnes Financial Services, LLC CRD: 115703 | - | 0 | 0 | - | Unknown |
| Barnes Investment Advisory Inc CRD: 108145 | - | 0 | 0 | - | Unknown |
| Barnes Pettey Financial Advisors, LLC CRD: 142944 | - | 0 | 10 | - | Unknown |
| Barnes Wealth Management Group CRD: 132189 | - | 0 | 2 | - | Unknown |
| Barnes, John E., Registered Investment Advisor, LL… CRD: 144518 | - | 0 | 0 | - | Unknown |
| Barnes, Quinn, Flake & Anderson Investment, Inc. CRD: 11557 | - | 0 | 0 | A | INACTIVE |
| Barnett & Co Inc CRD: 105867 | - | 0 | 1 | - | Unknown |
| Barnett & Partners Advisors, LLC CRD: 129373 | NY | 0 | 1 | A | Active |
| Barnett Bond Service, Inc. CRD: 20852 | - | 0 | 0 | A | INACTIVE |
| Barnett Capital Advisors LLC CRD: 159113 | - | 0 | 1 | - | Unknown |
| Barnett Capital Limited CRD: 15084 | - | 0 | 0 | A | INACTIVE |
| Barnett Capital Management, LLC CRD: 140919 | - | 0 | 2 | - | Unknown |
| Barnett Financial Planning CRD: 144590 | - | 0 | 1 | - | Unknown |
| Barnett Financial, Inc. CRD: 114414 | - | 0 | 0 | - | Unknown |
| Barnett Investment Counsel, LLC CRD: 114583 | - | 0 | 1 | - | Unknown |
| Barnett Investments Inc CRD: 111102 | - | 0 | 0 | - | Unknown |
| Barnett Investments, Inc. CRD: 14897 | - | 0 | 0 | A | INACTIVE |
| Barnett Securities, Inc. CRD: 6232 | - | 0 | 0 | A | INACTIVE |
| Barnett Wealth Management LLC. CRD: 286576 | - | 0 | 0 | - | Unknown |
| Barnett, Phillips Securities Corp. CRD: 17076 | - | 0 | 0 | A | INACTIVE |
| Barnhart Investment Advisory CRD: 149651 | - | 0 | 1 | - | Unknown |
| Barnstone Advisors LLC CRD: 144511 | - | 0 | 2 | - | Unknown |
| Baroldi Wood Mance Financial Advisors, LLC CRD: 317002 | - | 0 | 1 | - | Unknown |
| Barometer Capital Management CRD: 156409 | - | 0 | 0 | - | Unknown |
| Baron Capital Management, Inc. CRD: 110791 | - | 0 | 1 | - | Unknown |
| Baron Capital Management, LLC CRD: 115488 | - | 0 | 2 | - | Unknown |
| Baron Capital, Inc. CRD: 10538 | NY | 8 | 3 | C | Active |
| Baron Financial Advisors, LLC CRD: 170484 | - | 0 | 1 | - | Unknown |
| Baron Financial Corporation CRD: 25144 | - | 0 | 0 | A | INACTIVE |
| Baron Financial Group LLC CRD: 144234 | - | 0 | 8 | - | Unknown |
| Baron Financial Services Inc CRD: 108549 | - | 0 | 0 | - | Unknown |
| Baron Investments, Inc. CRD: 16857 | - | 0 | 0 | A | INACTIVE |
| Baron Securities Corporation CRD: 7268 | - | 0 | 0 | A | INACTIVE |
| Baron Silver Stevens Financial Advisors, LLC CRD: 126767 | - | 0 | 3 | - | Unknown |
| Baron Wealth Management, LLC CRD: 153117 | - | 0 | 1 | - | Unknown |
| Barony Financial Group CRD: 152475 | - | 0 | 1 | - | Unknown |
| Barr Brothers & Co., Inc. CRD: 7148 | - | 1 | 0 | B | INACTIVE |
| Barr CPA LLC CRD: 170878 | - | 0 | 1 | - | Unknown |
| Barr Devlin & Co. Incorporated CRD: 27702 | - | 0 | 0 | A | INACTIVE |
| Barr Financial Services, LLC CRD: 125444 | - | 0 | 1 | - | Unknown |
| Barra Analytics Securities CRD: 31773 | - | 0 | 0 | A | INACTIVE |
| Barra Analytics Securities, Inc. CRD: 42929 | - | 0 | 0 | A | INACTIVE |
| Barrack Yard Advisors, LLC CRD: 173536 | - | 0 | 1 | - | Unknown |
| Barramundi Advisors LLC CRD: 334454 | - | 0 | 1 | - | Unknown |
| Barramundi Capital LLC CRD: 316044 | FL | 0 | 2 | A | Active |
| Barre & Company, Incorporated CRD: 8342 | - | 0 | 0 | A | INACTIVE |