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 |
|---|---|---|---|---|---|
| UCI Wealth Advisors LLC CRD: 154884 | - | 0 | 0 | - | Unknown |
| UCK Partners CRD: 328369 | - | 0 | 0 | - | Unknown |
| UCS Investment Co CRD: 149258 | - | 0 | 1 | - | Unknown |
| Ucsb Securities Corporation CRD: 15202 | - | 0 | 0 | A | INACTIVE |
| Udazo Planning, Inc. CRD: 145827 | - | 0 | 0 | - | Unknown |
| UDC Securities Corp. CRD: 15419 | - | 0 | 0 | A | INACTIVE |
| UDI Financial Corporation CRD: 22536 | - | 0 | 0 | A | INACTIVE |
| Udine Wealth Management Inc. CRD: 147158 | - | 0 | 1 | - | Unknown |
| UFD Capital CRD: 315247 | - | 0 | 0 | - | Unknown |
| Ufenau Capital Partners AG CRD: 284169 | - | 0 | 0 | - | Unknown |
| UFG (US) Inc. CRD: 121963 | - | 0 | 0 | A | INACTIVE |
| UFG Asset Management CRD: 137855 | - | 0 | 0 | - | Unknown |
| UFG Capital CRD: 287566 | - | 0 | 0 | - | Unknown |
| UFG Capital Partners Limited CRD: 163753 | - | 0 | 0 | - | Unknown |
| UFG PE Managers Ltd. CRD: 288216 | - | 0 | 0 | - | Unknown |
| UFI Securities, Inc. CRD: 47849 | - | 2 | 0 | B | INACTIVE |
| UG Investment Advisers Ltd. CRD: 167183 | - | 0 | 0 | - | Unknown |
| Ugly Unicorn Management LLC CRD: 322000 | - | 0 | 1 | - | Unknown |
| UHH Brokerage Inc CRD: 11797 | - | 0 | 0 | A | INACTIVE |
| Uhler Vertich White Advisors CRD: 130716 | - | 0 | 1 | - | Unknown |
| Uhler, Steven B CRD: 317695 | - | 0 | 0 | - | Unknown |
| Uhlmann Investment Management, L.L.C. CRD: 118025 | - | 0 | 6 | - | Unknown |
| Uhlmann Price Securities, LLC CRD: 42854 | IL | 0 | 4 | A | Active |
| UHY Capital Advisors, LLC CRD: 116592 | - | 0 | 0 | - | Unknown |
| UHY Capital Group, LLC CRD: 117867 | MI | 0 | 2 | A | Active |
| UHY Wealth Management RIA LLC CRD: 317608 | - | 0 | 14 | - | Unknown |
| UI-USA, Inc. CRD: 23001 | - | 0 | 0 | A | INACTIVE |
| Uiaa D/B/a Illinois Wealth Management CRD: 171626 | - | 0 | 0 | - | Unknown |
| Uinta Investment Partners LLC CRD: 288402 | - | 0 | 0 | - | Unknown |
| Uinta Investments, Inc. CRD: 39954 | - | 1 | 0 | B | INACTIVE |
| UIS Investment Management LLC CRD: 310224 | - | 0 | 2 | - | Unknown |
| Uisonet CRD: 313473 | - | 0 | 1 | - | Unknown |
| UIT Investing, Inc. CRD: 289560 | - | 0 | 0 | - | Unknown |
| UIT Investments Inc. CRD: 22364 | - | 0 | 0 | A | INACTIVE |
| UJB Discount Brokerage Co. CRD: 11537 | - | 0 | 0 | A | INACTIVE |
| Ujjval Investments, LLC CRD: 156162 | - | 0 | 1 | - | Unknown |
| UK Pension Transfer LLC CRD: 164488 | - | 0 | 1 | - | Unknown |
| UK Trust (UKT) Wealth Management Ltd CRD: 338576 | - | 0 | 1 | - | Unknown |
| UL Wealth LLC CRD: 309277 | - | 0 | 1 | - | Unknown |
| Ulin, Morton, Bradley & Welling Incorporated CRD: 18661 | - | 0 | 0 | A | INACTIVE |
| Ulivi Wealth Management CRD: 133666 | - | 0 | 1 | - | Unknown |
| Ulivieri, William CRD: 38884 | - | 5 | 0 | C | INACTIVE |
| Ulland Investment Advisors, LLC CRD: 109610 | - | 0 | 1 | - | Unknown |
| Ullico Investment Advisors, Inc. CRD: 106628 | - | 0 | 1 | - | Unknown |
| Ullico Investment Company, LLC CRD: 135195 | MD | 0 | 5 | A | Active |
| Ullmann Wealth Partners CRD: 123748 | - | 0 | 0 | - | Unknown |
| Ullmann Wealth Partners CRD: 316697 | - | 0 | 3 | - | Unknown |
| Ullrich Wealth Management LLC CRD: 298808 | - | 0 | 0 | - | Unknown |
| Ulmer Brothers Group, Ltd. CRD: 19884 | - | 0 | 0 | A | INACTIVE |
| Ulmer Financial CRD: 319222 | - | 0 | 1 | - | Unknown |