Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| ESL Newco I, LLC CRD: 339091 | — | 0 | 1 | A | Unknown |
| ESM Management LLC CRD: 150142 | — | 0 | 1 | A | Unknown |
| Esmeb Inc CRD: 152361 | — | 0 | 1 | A | Unknown |
| ESO Capital Partners UK LLP CRD: 161460 | — | 0 | 0 | A | Unknown |
| Esperanza Energy Management, LLC CRD: 330487 | — | 0 | 1 | A | Unknown |
| Espmgmt, LLC CRD: 162172 | — | 0 | 0 | A | Unknown |
| Espt Ventures LLC CRD: 305271 | — | 0 | 1 | A | Unknown |
| Esquire Investments, Inc. CRD: 18417 | — | 0 | 0 | A | INACTIVE |
| Esquires Group LLC CRD: 289537 | — | 0 | 2 | A | Unknown |
| Esqwealth CRD: 320834 | — | 0 | 2 | A | Unknown |
| Essa Financial LLC CRD: 333509 | — | 0 | 1 | A | Unknown |
| Essential Crypto Exchange CRD: 338998 | — | 0 | 1 | A | Unknown |
| Essential Management CRD: 335551 | — | 0 | 1 | A | Unknown |
| Essential Wealth CRD: 299913 | — | 0 | 0 | A | Unknown |
| Essentria Financial Experience, LLC CRD: 144856 | — | 0 | 0 | A | Unknown |
| Essex & York, Inc. CRD: 118495 | — | 3 | 0 | C | INACTIVE |
| Essex Advisory CRD: 312140 | — | 0 | 2 | A | Unknown |
| Essex Asset Advisors Inc. CRD: 164076 | — | 0 | 1 | A | Unknown |
| Essex Company CRD: 7598 | — | 0 | 0 | A | INACTIVE |
| Essex LLC CRD: 108352 | — | 0 | 2 | A | Unknown |
| Essex Partners, Ltd. CRD: 10229 | — | 0 | 0 | A | INACTIVE |
| Essex Radez LLC CRD: 34649 | — | 25 | 0 | F | INACTIVE |
| Essig, Trevor C. CRD: 107685 | — | 0 | 0 | A | INACTIVE |
| Estate Planners of NEW England, LLC CRD: 133353 | — | 0 | 2 | A | Unknown |
| Esther M Mcgann , MBA, CFP CRD: 109317 | — | 0 | 0 | A | Unknown |
| Estrea Corp. CRD: 42646 | — | 0 | 0 | A | INACTIVE |
| Estreetcap LLC CRD: 311064 | — | 0 | 0 | A | Unknown |
| Estrust, LLC CRD: 155383 | — | 0 | 0 | A | Unknown |
| ETA Equity CRD: 336713 | — | 0 | 1 | A | Unknown |
| ETA.FUND MGMT, LLC CRD: 323050 | — | 0 | 1 | A | Unknown |
| ETB Consulting CRD: 293796 | — | 0 | 1 | A | Unknown |
| Etch Financial CRD: 327021 | — | 0 | 2 | A | Unknown |
| Eterna GP LLC CRD: 340086 | — | 0 | 1 | A | Unknown |
| ETF Architect CRD: 171412 | — | 0 | 2 | A | Unknown |
| ETF Managers Group LLC CRD: 268796 | — | 0 | 0 | A | Unknown |
| ETF Portfolio Partners, Inc. CRD: 128366 | — | 0 | 2 | A | Unknown |
| Etfconcepts CRD: 159411 | — | 0 | 0 | A | Unknown |
| Etfidea, LLC CRD: 121188 | — | 0 | 0 | A | Unknown |
| ETH Corp. CRD: 161250 | — | 0 | 1 | A | Unknown |
| ETHER.FI Sezc CRD: 340278 | — | 0 | 0 | A | Unknown |
| Ethic CRD: 282827 | — | 0 | 2 | A | Unknown |
| Ethical Capital CRD: 316032 | — | 0 | 1 | A | Unknown |
| Ethicalpha Inc. CRD: 283396 | — | 0 | 0 | A | Unknown |
| Ethika Investments, LLC CRD: 166214 | — | 0 | 0 | A | Unknown |
| Ethos Capital LP CRD: 306874 | — | 0 | 1 | A | Unknown |
| Ethos Digital GP CRD: 324926 | — | 0 | 0 | A | Unknown |
| Ethos ESG Investments LLC CRD: 319638 | — | 0 | 0 | A | Unknown |
| Ethos Fund LLC CRD: 322038 | — | 0 | 1 | A | Unknown |
| Ethos IRR CRD: 326269 | — | 0 | 1 | A | Unknown |
| Ethos Manager LLC CRD: 310619 | — | 0 | 1 | A | Unknown |