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 |
|---|---|---|---|---|---|
| Barson Financial Planning CRD: 287612 | - | 0 | 1 | - | Unknown |
| Bartee Capital Management, LLC CRD: 284466 | - | 0 | 1 | - | Unknown |
| Bartek Capital LLC CRD: 307992 | - | 0 | 1 | - | Unknown |
| Bartel Securities, Inc. CRD: 8269 | - | 0 | 0 | A | INACTIVE |
| Bartell Financial Advisors, Inc. CRD: 157754 | - | 0 | 0 | - | Unknown |
| Barth Capital LLC CRD: 174852 | - | 0 | 1 | - | Unknown |
| Barthel, Jeffrey Charles CRD: 34369 | - | 0 | 0 | A | INACTIVE |
| Barthel, Kathleen CRD: 118095 | - | 0 | 0 | A | INACTIVE |
| Bartholomew & Company Wealth Management, LLC CRD: 342680 | - | 0 | 2 | - | Unknown |
| Bartholomew Investment, Corp. CRD: 291131 | - | 0 | 0 | - | Unknown |
| Bartlett & Co. CRD: 86 | - | 0 | 0 | A | INACTIVE |
| Bartlett & Co. LLC CRD: 159973 | - | 0 | 0 | - | Unknown |
| Bartlett & Co. Wealth Management LLC CRD: 292246 | - | 0 | 26 | - | Unknown |
| Bartlett Investment Advisors, Inc. CRD: 115089 | - | 0 | 0 | - | Unknown |
| Bartlett, Lawrence E CRD: 136282 | - | 0 | 1 | - | Unknown |
| Bartlett, Thomas Arthur CRD: 103793 | - | 1 | 0 | B | INACTIVE |
| Bartlett-Richardson, Inc. CRD: 10340 | - | 0 | 0 | A | INACTIVE |
| Bartley Financial Advisors, LLC CRD: 124293 | - | 0 | 2 | - | Unknown |
| Bartolf Wealth Advisors, Inc. CRD: 132300 | - | 0 | 0 | - | Unknown |
| Barton Advisory Services, L.L.C. CRD: 137694 | - | 0 | 2 | - | Unknown |
| Barton Creek Advisors, LLC CRD: 130994 | - | 0 | 1 | - | Unknown |
| Barton Creek Capital Corporation CRD: 43975 | - | 0 | 0 | A | INACTIVE |
| Barton Creek Investment Advisors CRD: 163187 | - | 0 | 1 | - | Unknown |
| Barton Financial Group LLC CRD: 325215 | - | 0 | 2 | - | Unknown |
| Barton Hall Securities, Inc. CRD: 18465 | - | 0 | 0 | A | INACTIVE |
| Barton Investment Management, LLC CRD: 141084 | - | 0 | 5 | - | Unknown |
| Barton Legacy Advisor, LLC CRD: 158624 | - | 0 | 0 | - | Unknown |
| Barton Point Capital Management CRD: 307976 | - | 0 | 0 | - | Unknown |
| Barton, Scott & Meyer, Inc. CRD: 10758 | - | 0 | 0 | A | INACTIVE |
| Bartow, Greenwood & Company, Inc. CRD: 11708 | - | 0 | 0 | A | INACTIVE |
| Baru Asset Management CRD: 281530 | - | 0 | 0 | - | Unknown |
| Barwacz, Michael G CRD: 33425 | - | 0 | 0 | A | INACTIVE |
| Barwell Securities Corporation CRD: 7609 | - | 2 | 0 | B | INACTIVE |
| Barwick & Partners, Inc. CRD: 174336 | - | 0 | 1 | - | Unknown |
| Barzideh & Nadeau Wealth Management LLC CRD: 334876 | - | 0 | 1 | - | Unknown |
| BAS Capital CRD: 150430 | - | 0 | 1 | - | Unknown |
| BAS Capital Management LLC CRD: 315253 | - | 0 | 1 | - | Unknown |
| Basa Advisors CRD: 290034 | - | 0 | 1 | - | Unknown |
| Basalt Infrastructure Partners LLC CRD: 162276 | - | 0 | 1 | - | Unknown |
| Basalt Infrastructure Partners LLP CRD: 161881 | - | 0 | 0 | - | Unknown |
| Basalt Wealth Inc. CRD: 333045 | - | 0 | 3 | - | Unknown |
| Bascom Hill Wealth LLC CRD: 334522 | - | 0 | 0 | - | Unknown |
| Bascule Capital Trading LLC CRD: 139726 | - | 0 | 0 | A | INACTIVE |
| Base CRD: 340360 | - | 0 | 1 | - | Unknown |
| Base Case Management, LLC CRD: 323761 | - | 0 | 1 | - | Unknown |
| Base Management Co CRD: 104600 | - | 0 | 2 | - | Unknown |
| Base Ohio Securities, Inc. CRD: 16186 | - | 0 | 0 | A | INACTIVE |
| Base Partners CRD: 293295 | - | 0 | 0 | - | Unknown |
| Base Securities, LLC CRD: 131922 | - | 0 | 0 | A | INACTIVE |
| Base Spin LLC CRD: 331468 | - | 0 | 1 | - | Unknown |