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.S. Wealth Advisors, Inc. CRD: 164018 | - | 0 | 0 | - | Unknown |
| U.S. Wealth Advisors, LLC. CRD: 126924 | - | 0 | 0 | A | INACTIVE |
| U.S. Wealth Capital Advisors, LLC CRD: 300177 | - | 0 | 0 | - | Unknown |
| U.S. Wealth Group, LLC CRD: 141062 | - | 0 | 1 | - | Unknown |
| U.S.-Worldwide Financial Services, Inc. CRD: 19612 | - | 1 | 0 | B | INACTIVE |
| U.S.A. Financial & TAX Services, LLC CRD: 306214 | - | 0 | 1 | - | Unknown |
| U.S.A. Investors Corporation CRD: 14656 | - | 0 | 0 | A | INACTIVE |
| UA, LLC CRD: 113105 | - | 0 | 0 | - | Unknown |
| UAG GP 1 LLC CRD: 286188 | - | 0 | 0 | - | Unknown |
| UAK Diversified Wealth Advisors CRD: 300506 | - | 0 | 1 | - | Unknown |
| UAM Fund Distributors, Inc. CRD: 24364 | - | 0 | 0 | A | INACTIVE |
| UAN Investment Corp. CRD: 16665 | - | 0 | 0 | A | INACTIVE |
| UAS Wealth Advisors CRD: 132903 | - | 0 | 0 | - | Unknown |
| UAT Resources, LLC CRD: 161378 | - | 0 | 0 | A | INACTIVE |
| UBC Investment Corporation CRD: 24229 | - | 0 | 0 | A | INACTIVE |
| Ubequity Wealth Management, LLC CRD: 311577 | - | 0 | 2 | - | Unknown |
| Uberfund Capital Advisors LLC CRD: 324751 | - | 0 | 1 | - | Unknown |
| Ubiquity Management, LLC CRD: 311168 | - | 0 | 1 | - | Unknown |
| Ubiquity Ventures Management, LLC CRD: 291239 | - | 0 | 1 | - | Unknown |
| UBL Equities Corporation CRD: 35034 | - | 0 | 0 | A | INACTIVE |
| UBM Securities, Inc. CRD: 120837 | - | 0 | 0 | A | INACTIVE |
| UBP Asset Management LLC CRD: 111472 | - | 0 | 0 | - | Unknown |
| UBP Investment Advisors S.A. CRD: 169987 | - | 0 | 0 | - | Unknown |
| UBQ Ventures CRD: 342045 | - | 0 | 1 | - | Unknown |
| UBS Asset Management (Americas) LLC CRD: 106838 | - | 0 | 12 | - | Unknown |
| UBS Asset Management (US) Inc. CRD: 583 | NY | 10 | 8 | D | Active |
| UBS Asset Management Credit Investments Group (UK)… CRD: 113463 | - | 0 | 0 | - | Unknown |
| UBS Asset Management Funds Ltd CRD: 173081 | - | 0 | 0 | - | Unknown |
| UBS Asset Managers of Puerto Rico CRD: 313696 | - | 0 | 1 | - | Unknown |
| UBS Capital Markets L.P. CRD: 2692 | - | 27 | 0 | F | INACTIVE |
| UBS Clearing Services Corporation CRD: 44883 | - | 1 | 0 | B | INACTIVE |
| UBS Farmland Investors LLC CRD: 107754 | - | 0 | 1 | - | Unknown |
| UBS Financial Services Inc. CRD: 8174 | NJ | 926 | 6,346 | C | Active |
| UBS Financial Services Incorporated of Puerto Rico CRD: 13042 | - | 51 | 0 | F | INACTIVE |
| UBS Fund Services (USA) LLC CRD: 41848 | CT | 0 | 2 | A | Active |
| UBS Hedge Fund Solutions CRD: 131034 | - | 0 | 0 | - | Unknown |
| UBS International Inc. CRD: 107726 | - | 3 | 0 | C | INACTIVE |
| UBS Oconnor LLC CRD: 108754 | - | 0 | 0 | - | Unknown |
| UBS Phillips & Drew International Ltd CRD: 11600 | - | 0 | 0 | A | INACTIVE |
| UBS Realty Investors LLC CRD: 107758 | - | 0 | 1 | - | Unknown |
| UBS Securities LLC CRD: 7654 | NY | 317 | 39 | D | Active |
| UBS Services USA LLC CRD: 46330 | - | 0 | 0 | A | INACTIVE |
| UBX ABC LLC CRD: 300238 | - | 0 | 0 | - | Unknown |
| UBX Financial Freedom, LLC CRD: 166754 | - | 0 | 0 | - | Unknown |
| UC Ventures, LLC CRD: 340754 | - | 0 | 1 | - | Unknown |
| Ucap Americas CRD: 170846 | - | 0 | 3 | - | Unknown |
| Ucap Americas CRD: 173643 | FL | 0 | 2 | A | Active |
| UCB Financial Advisers Inc. CRD: 136434 | - | 0 | 0 | - | Unknown |
| UCB Investment Services, Inc. CRD: 125574 | - | 0 | 0 | A | INACTIVE |
| UCB Investor Services, Inc. CRD: 21429 | - | 0 | 0 | A | INACTIVE |