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 |
|---|---|---|---|---|---|
| Ulrich Financial, Inc. CRD: 18977 | - | 0 | 0 | A | INACTIVE |
| Ulrich Investment Consultants CRD: 159499 | - | 0 | 10 | - | Unknown |
| Ulstra CRD: 169794 | - | 0 | 0 | - | Unknown |
| Ulta Wealth Management, LLC CRD: 310879 | - | 0 | 1 | - | Unknown |
| Ultimate Retirement Products, Inc. CRD: 146227 | - | 0 | 2 | - | Unknown |
| Ultimate Services Securities, Inc. CRD: 23283 | - | 0 | 0 | A | INACTIVE |
| Ultimax Investments CRD: 150295 | - | 0 | 0 | - | Unknown |
| Ultimus Fund Distributors, LLC CRD: 104177 | OH | 0 | 2 | A | Active |
| Ultra Advisors LLC CRD: 301668 | - | 0 | 1 | - | Unknown |
| Ultra Advisory Group CRD: 338775 | - | 0 | 1 | - | Unknown |
| Ultra Blue Capital GP II, LLC CRD: 312445 | - | 0 | 0 | - | Unknown |
| Ultra Blue Capital, LLC CRD: 316247 | - | 0 | 0 | - | Unknown |
| Ultra Capital Management LLC CRD: 339458 | - | 0 | 0 | - | Unknown |
| Ultra Capital Management, LLC CRD: 170894 | - | 0 | 0 | - | Unknown |
| Ultra Capital, LLC CRD: 281117 | - | 0 | 0 | - | Unknown |
| Ultra Financial Partners CRD: 315239 | - | 0 | 0 | - | Unknown |
| Ultrafin International Corporation CRD: 5134 | - | 0 | 0 | A | INACTIVE |
| Ultranative, LLC CRD: 331344 | - | 0 | 1 | - | Unknown |
| Ultratech Capital Partners CRD: 333767 | - | 0 | 1 | - | Unknown |
| Ultraviolet Securities, LLC CRD: 297734 | - | 0 | 0 | A | INACTIVE |
| ULU Capital, LLC CRD: 173351 | - | 0 | 0 | - | Unknown |
| ULU Ventures Management Company, LLC CRD: 286433 | - | 0 | 1 | - | Unknown |
| Ulysses Management LLC CRD: 157251 | - | 0 | 1 | - | Unknown |
| UMA Ventures 0 LLC CRD: 329174 | - | 0 | 0 | - | Unknown |
| UMA Ventures LLC CRD: 333438 | - | 0 | 1 | - | Unknown |
| Umami Capital, LLC CRD: 325866 | - | 0 | 1 | - | Unknown |
| Umana | Monei CRD: 226526 | - | 0 | 0 | - | Unknown |
| Umatiya Investment Group Fund 1 LP CRD: 336415 | - | 0 | 1 | - | Unknown |
| Umatiya Investment Group LLC CRD: 340680 | - | 0 | 1 | - | Unknown |
| UMB Asset Management, LLC CRD: 306374 | - | 0 | 2 | - | Unknown |
| UMB Financial Services, Inc. CRD: 17073 | MO | 4 | 105 | B | Active |
| Umbaugh Cash Advisory Services, LLC CRD: 136904 | - | 0 | 0 | - | Unknown |
| Umbono Commodity Fund Management, LLC CRD: 306608 | - | 0 | 1 | - | Unknown |
| Umergence LLC CRD: 284368 | CT | 0 | 2 | A | Active |
| Umic, Inc. CRD: 5974 | - | 0 | 0 | A | INACTIVE |
| Ummah Investments LLC CRD: 298062 | - | 0 | 0 | - | Unknown |
| UMS Investments, Inc. CRD: 15749 | - | 0 | 0 | A | INACTIVE |
| Umtb Securities Inc. CRD: 142289 | - | 0 | 0 | A | INACTIVE |
| Unbiased, Inc. CRD: 323880 | - | 0 | 0 | - | Unknown |
| Unbound Capital Advisors CRD: 337348 | - | 0 | 0 | - | Unknown |
| Unbounded Capital LLC CRD: 297719 | - | 0 | 1 | - | Unknown |
| Unbox Capital GestÃO DE Recursos Financeiros Ltda. CRD: 321788 | - | 0 | 0 | - | Unknown |
| Unbundled Capital LLC CRD: 308516 | - | 0 | 1 | - | Unknown |
| Unburdened Financial Planning CRD: 328597 | - | 0 | 1 | - | Unknown |
| Uncaged Impact CRD: 337332 | - | 0 | 1 | - | Unknown |
| Uncap Manager LLC CRD: 338292 | - | 0 | 1 | - | Unknown |
| Uncharted Wave Wealth Advisors LLC CRD: 343228 | - | 0 | 1 | - | Unknown |
| Uncle Scruffy's Investments LLC CRD: 111996 | - | 0 | 0 | A | INACTIVE |
| Uncommon Capital, LLC CRD: 226622 | - | 0 | 0 | - | Unknown |
| Uncommon Cents Investing CRD: 290105 | - | 0 | 2 | - | Unknown |