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 |
|---|---|---|---|---|---|
| Tritonpoint Partners, LLC CRD: 333259 | - | 0 | 10 | - | Unknown |
| Tritonpoint Wealth, LLC CRD: 328398 | - | 0 | 2 | - | Unknown |
| Tritower Real Estate Capital, LLC CRD: 281740 | MA | 0 | 2 | A | Active |
| Trium Capital LLP CRD: 306112 | - | 0 | 0 | - | Unknown |
| Trium Ventures GP I, LLC CRD: 322206 | - | 0 | 1 | - | Unknown |
| Triumph Alternatives LLC CRD: 166462 | - | 0 | 0 | - | Unknown |
| Triumph Capital Management CRD: 282814 | - | 0 | 3 | - | Unknown |
| Triumph Capital Markets, LLC CRD: 327963 | IL | 0 | 2 | A | Active |
| Triumph Corporate Finance Group Inc. CRD: 17022 | - | 1 | 0 | B | INACTIVE |
| Triumph Financial Advisors, LLC CRD: 313911 | - | 0 | 0 | - | Unknown |
| Triumph Global Securities, Ltd. CRD: 45519 | - | 0 | 0 | A | INACTIVE |
| Triumph Investment Advisory Group, LLC CRD: 172484 | - | 0 | 1 | - | Unknown |
| Triumph Investment Fund Management LLC CRD: 138336 | - | 0 | 0 | - | Unknown |
| Triumph Investments CRD: 161216 | - | 0 | 0 | - | Unknown |
| Triumph Private Wealth CRD: 311199 | - | 0 | 1 | - | Unknown |
| Triumph Securities Corporation CRD: 14236 | - | 6 | 0 | D | INACTIVE |
| Triumph Wealth Advisors, Inc. CRD: 153175 | - | 0 | 4 | - | Unknown |
| Triumph Wealth Management LLC CRD: 155537 | - | 0 | 2 | - | Unknown |
| Triune Financial Partners, LLC CRD: 152277 | - | 0 | 4 | - | Unknown |
| Triune Partners CRD: 322835 | - | 0 | 0 | - | Unknown |
| Triune Private Capital LLC CRD: 168301 | - | 0 | 0 | - | Unknown |
| Triunity Financial Planning, LLC CRD: 327252 | - | 0 | 1 | - | Unknown |
| Trivant Custom Portfolio Group LLC CRD: 129803 | - | 0 | 2 | - | Unknown |
| Trive Capital Management LLC CRD: 166910 | - | 0 | 1 | - | Unknown |
| Trive NEW York LLC CRD: 21946 | NY | 1 | 2 | B | Active |
| Trivelloni Asset Management CRD: 149379 | - | 0 | 0 | - | Unknown |
| Triveni Capital Investments LP CRD: 325802 | - | 0 | 1 | - | Unknown |
| Triventures Management Ltd. CRD: 283346 | - | 0 | 0 | - | Unknown |
| Triventures Management Seed Ltd CRD: 308841 | - | 0 | 0 | - | Unknown |
| Trivest Advisors CRD: 160993 | - | 0 | 0 | - | Unknown |
| Trivest Advisors CRD: 338870 | - | 0 | 0 | - | Unknown |
| Trivest Capital CRD: 287692 | - | 0 | 0 | - | Unknown |
| Trivest Capital Management Inc CRD: 107586 | - | 0 | 1 | - | Unknown |
| Trivest Investment Advisors, LLC CRD: 161432 | - | 0 | 1 | - | Unknown |
| Trivest Securities Corporation CRD: 16855 | - | 0 | 0 | A | INACTIVE |
| Trivett Wealth Management, LLC CRD: 316319 | - | 0 | 0 | - | Unknown |
| Trivista Capital CRD: 307654 | - | 0 | 0 | - | Unknown |
| Trivista Capital, LLC CRD: 309536 | - | 0 | 1 | - | Unknown |
| Trivium Capital Partners, LLC CRD: 329786 | - | 0 | 2 | - | Unknown |
| Trivium Point Advisory, LLC CRD: 292182 | - | 0 | 9 | - | Unknown |
| Triwest Capital Partners CRD: 312489 | - | 0 | 0 | - | Unknown |
| Triwest Capital Partners IV (2011), Inc CRD: 162790 | - | 0 | 0 | - | Unknown |
| Trizak Securities Corporation CRD: 14077 | - | 0 | 0 | A | INACTIVE |
| TRJ Wealth Management, Inc. CRD: 128661 | - | 0 | 1 | - | Unknown |
| TRM Advisors LP CRD: 321278 | - | 0 | 1 | - | Unknown |
| TRO Specialty Private Credit Fund Manager, LLC CRD: 334770 | - | 0 | 1 | - | Unknown |
| Troika Capital Advisors, LLC CRD: 152927 | - | 0 | 2 | - | Unknown |
| Troika Investment Advisors, LLC CRD: 127086 | - | 0 | 2 | - | Unknown |
| Trollinger Investment Services, Inc. CRD: 118618 | - | 0 | 0 | - | Unknown |
| Troluce Capital Advisors LLC CRD: 313120 | - | 0 | 1 | - | Unknown |