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 |
|---|---|---|---|---|---|
| U-Nest Holdings, LLC CRD: 294806 | - | 0 | 0 | - | Unknown |
| U-SA Securities LLC CRD: 314297 | - | 0 | 0 | - | Unknown |
| U-Trade Brokerage, LLC. CRD: 111108 | - | 1 | 0 | B | INACTIVE |
| U. S. a. Investments Incorporated CRD: 41280 | - | 0 | 0 | A | INACTIVE |
| U. S. Boston Capital Corporation CRD: 5251 | MA | 3 | 4 | B | Active |
| U. S. Capital Securities, Inc. CRD: 3590 | - | 0 | 0 | A | INACTIVE |
| U. S. Pacific Financial Services, Inc. CRD: 17423 | - | 2 | 0 | B | INACTIVE |
| U.E.C. Securities, Inc. CRD: 13295 | - | 0 | 0 | A | INACTIVE |
| U.M. Securities Corporation CRD: 3053 | - | 0 | 0 | A | INACTIVE |
| U.S. Advisors, Inc. CRD: 10721 | - | 0 | 0 | A | INACTIVE |
| U.S. Advisors, Inc. CRD: 117401 | - | 0 | 1 | - | Unknown |
| U.S. Associates of Florida, Inc. CRD: 20628 | - | 0 | 0 | A | INACTIVE |
| U.S. Associates, Inc. CRD: 13511 | - | 0 | 0 | A | INACTIVE |
| U.S. Bancorp Advisors, LLC CRD: 14455 | MN | 5 | 1,934 | B | Active |
| U.S. Bancorp Asset Management, Inc. CRD: 111912 | - | 0 | 1 | - | Unknown |
| U.S. Bancorp Investments, Inc. CRD: 17868 | MN | 29 | 54 | C | Active |
| U.S. Bancorp Securities CRD: 17439 | - | 0 | 0 | A | INACTIVE |
| U.S. Brokerage, Inc. CRD: 39307 | GA | 3 | 7 | B | Active |
| U.S. Capital Partners, Inc. CRD: 120751 | - | 0 | 0 | A | INACTIVE |
| U.S. Capital Wealth Advisors, LLC CRD: 288199 | - | 0 | 82 | - | Unknown |
| U.S. Cherry LLC CRD: 311564 | - | 0 | 1 | - | Unknown |
| U.S. Credit Securities Corporation CRD: 13220 | - | 0 | 0 | A | INACTIVE |
| U.S. Equities, Inc. CRD: 28249 | - | 0 | 0 | A | INACTIVE |
| U.S. Financial Advisors CRD: 108763 | - | 0 | 0 | - | Unknown |
| U.S. Financial Investments, Inc. CRD: 120804 | - | 2 | 0 | B | INACTIVE |
| U.S. Financial Securities, Inc. CRD: 17854 | - | 0 | 0 | A | INACTIVE |
| U.S. Global Brokerage, Inc. CRD: 44721 | - | 0 | 0 | A | INACTIVE |
| U.S. Global Investors, Inc. CRD: 111097 | - | 0 | 2 | - | Unknown |
| U.S. Growth Investments, Inc. CRD: 38969 | - | 0 | 0 | A | INACTIVE |
| U.S. Institutional Corporation CRD: 135555 | - | 0 | 1 | - | Unknown |
| U.S. Interests, Inc. CRD: 10261 | - | 0 | 0 | A | INACTIVE |
| U.S. Investments, Inc. CRD: 22841 | - | 0 | 0 | A | INACTIVE |
| U.S. Investors International CRD: 117446 | - | 0 | 0 | - | Unknown |
| U.S. Investors, Inc. CRD: 45981 | - | 0 | 0 | A | INACTIVE |
| U.S. League Government Securities, Inc. CRD: 19720 | - | 0 | 0 | A | INACTIVE |
| U.S. League Securities, Inc. CRD: 14544 | - | 0 | 0 | A | INACTIVE |
| U.S. Mutual Securities Corp. CRD: 7046 | - | 0 | 0 | A | INACTIVE |
| U.S. News Financial Connect CRD: 313479 | - | 0 | 0 | - | Unknown |
| U.S. Private Wealth, LLC CRD: 167288 | - | 0 | 1 | - | Unknown |
| U.S. RE Securities, LLC CRD: 132812 | - | 0 | 0 | A | INACTIVE |
| U.S. Real Estate Investment Corporation CRD: 15303 | - | 0 | 0 | A | INACTIVE |
| U.S. Rica Financial, Inc. CRD: 38742 | - | 1 | 0 | B | INACTIVE |
| U.S. Securities & Futures Corp. CRD: 36045 | - | 12 | 0 | D | INACTIVE |
| U.S. Securities Clearing Corp. CRD: 15403 | - | 0 | 0 | A | INACTIVE |
| U.S. Securities Corporation of Washington, DC CRD: 25231 | - | 0 | 0 | A | INACTIVE |
| U.S. Securities, Inc. CRD: 14289 | - | 0 | 0 | A | INACTIVE |
| U.S. Securities, Intl. Corp. CRD: 11238 | NY | 9 | 2 | C | Active |
| U.S. Select Securities LLC CRD: 133082 | - | 0 | 0 | A | INACTIVE |
| U.S. Sterling Securities, Inc. CRD: 35912 | NY | 0 | 2 | A | Active |
| U.S. Venture Partners CRD: 160112 | - | 0 | 1 | - | Unknown |