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 |
|---|---|---|---|---|---|
| Uncommon Denominator Management LLC CRD: 333751 | - | 0 | 1 | - | Unknown |
| Uncommon Equity LLC CRD: 314936 | - | 0 | 1 | - | Unknown |
| Uncommon Investment Advisors LLC CRD: 301254 | - | 0 | 0 | - | Unknown |
| Uncommon Management Group, LLC CRD: 339031 | - | 0 | 1 | - | Unknown |
| Uncommon Projects Capital Management, LLC CRD: 311118 | - | 0 | 1 | - | Unknown |
| Uncommon VC, LLC CRD: 321607 | - | 0 | 0 | - | Unknown |
| Uncommon Wealth Partners, LLC CRD: 288676 | - | 0 | 1 | - | Unknown |
| Unconventional Capital Wisdom, LLC CRD: 170389 | - | 0 | 0 | - | Unknown |
| Unconventional Investor, LLC CRD: 143510 | - | 0 | 0 | - | Unknown |
| Unconventional Investor, LLC CRD: 317333 | - | 0 | 3 | - | Unknown |
| Uncork Capital CRD: 308145 | - | 0 | 1 | - | Unknown |
| Uncorked Advisors, LLC CRD: 315895 | - | 0 | 1 | - | Unknown |
| Uncorrelated Advisors LLC CRD: 305290 | - | 0 | 1 | - | Unknown |
| Unda Financial and Consulting LLC CRD: 315468 | - | 0 | 1 | - | Unknown |
| Undefined Capital, LLC CRD: 321665 | - | 0 | 1 | - | Unknown |
| Under PAR Planning LLC CRD: 306930 | - | 0 | 1 | - | Unknown |
| Underdog Labs Holdings, LLC CRD: 307308 | - | 0 | 1 | - | Unknown |
| Underdog Ventures, L.L.C. CRD: 169431 | - | 0 | 0 | - | Unknown |
| Underdog Wealth Management, LLC CRD: 152998 | - | 0 | 2 | - | Unknown |
| Underhill Associates, Incorporated CRD: 6999 | - | 0 | 0 | A | INACTIVE |
| Underhill Investment Management LLC CRD: 140390 | - | 0 | 0 | - | Unknown |
| Underhill Investments, LLC CRD: 165543 | - | 0 | 1 | - | Unknown |
| Underhill Securities Corp. CRD: 148001 | - | 0 | 0 | A | INACTIVE |
| UNDERSCORE.VC Management Company, LLC CRD: 283164 | - | 0 | 1 | - | Unknown |
| Underwood, Neuhaus & Co., Incorporated CRD: 839 | - | 0 | 0 | A | INACTIVE |
| Underwriters Equity Corporation CRD: 36537 | - | 0 | 0 | A | INACTIVE |
| Undeterred Capital GP LLC CRD: 311759 | - | 0 | 0 | - | Unknown |
| Undeterred Managers, L.L.C. CRD: 327437 | - | 0 | 1 | - | Unknown |
| Undomiel, LLC CRD: 342147 | - | 0 | 0 | - | Unknown |
| Unearthing Opportunities LLC CRD: 317403 | - | 0 | 0 | - | Unknown |
| Unest Advisers, LLC CRD: 308125 | - | 0 | 2 | - | Unknown |
| Unest Securities, LLC CRD: 309955 | WY | 0 | 2 | A | Active |
| Unex Capital Corporation CRD: 18022 | - | 0 | 0 | A | INACTIVE |
| Unfcu Advisors LLC CRD: 136572 | - | 0 | 2 | - | Unknown |
| UNG Financial & Insurance Services CRD: 135404 | - | 0 | 0 | - | Unknown |
| Unger Financial CRD: 310794 | - | 0 | 2 | - | Unknown |
| Ungm Advisors, Inc. CRD: 309137 | - | 0 | 0 | - | Unknown |
| UNI EQ Investment Group, Inc. CRD: 7341 | - | 0 | 0 | A | INACTIVE |
| UNI-Petro Securities Corp. CRD: 15026 | - | 0 | 0 | A | INACTIVE |
| Unibanc Brokerage Services, Inc. CRD: 17712 | - | 0 | 0 | A | INACTIVE |
| Unibanco Securities Inc. CRD: 43600 | - | 0 | 0 | A | INACTIVE |
| Uniborn GP LLC CRD: 338128 | - | 0 | 1 | - | Unknown |
| Unicapital Securities Corp. CRD: 25029 | - | 1 | 0 | B | INACTIVE |
| Unico Investment Advisers LLC CRD: 310259 | - | 0 | 1 | - | Unknown |
| Unicorn Advisors CRD: 316485 | - | 0 | 0 | - | Unknown |
| Unicorn Asset Management Limited CRD: 335300 | - | 0 | 0 | - | Unknown |
| Unicorn Capital Partners CRD: 277055 | - | 0 | 0 | - | Unknown |
| Unicorn Consulting CRD: 283741 | - | 0 | 1 | - | Unknown |
| Unicorn DX Advisors Limited CRD: 314637 | - | 0 | 0 | - | Unknown |
| Unicorn Fund Capital Advisers II LLC CRD: 327030 | - | 0 | 0 | - | Unknown |