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 |
|---|---|---|---|---|---|
| Unicorn Fund Capital Advisers III LLC CRD: 327037 | - | 0 | 0 | - | Unknown |
| Unicorn Fund Capital Advisers IV LLC CRD: 327042 | - | 0 | 0 | - | Unknown |
| Unicorn Fund Capital Advisers LLC CRD: 307506 | - | 0 | 0 | - | Unknown |
| Unicorn Fund Capital Advisers V LLC CRD: 327043 | - | 0 | 0 | - | Unknown |
| Unicorn Management, LLC CRD: 329219 | - | 0 | 1 | - | Unknown |
| Unicorp Financial Group CRD: 17644 | - | 0 | 0 | A | INACTIVE |
| Unicredit Capital Markets LLC CRD: 7789 | NY | 3 | 2 | B | Active |
| Unicredit Financial Services and Investment Adviso… CRD: 304324 | - | 0 | 0 | - | Unknown |
| Unifi Asset Management LP CRD: 330942 | - | 0 | 1 | - | Unknown |
| Unifi Investment Management LLP CRD: 324683 | - | 0 | 0 | - | Unknown |
| Unifi Ventures, LLC CRD: 336630 | - | 0 | 1 | - | Unknown |
| Unified Asset Management, LLC CRD: 159866 | - | 0 | 0 | - | Unknown |
| Unified Financial Securities, LLC CRD: 7868 | - | 4 | 0 | C | INACTIVE |
| Unified Financial, LLC CRD: 319130 | - | 0 | 0 | - | Unknown |
| Unified Investment Management CRD: 326056 | - | 0 | 1 | - | Unknown |
| Unified Investment Services, Inc. CRD: 34628 | - | 0 | 0 | A | INACTIVE |
| Unified Investments, Inc. CRD: 18052 | - | 0 | 0 | A | INACTIVE |
| Unified Retirement Planning Group CRD: 341550 | - | 0 | 1 | - | Unknown |
| Unified Securities Corporation CRD: 8024 | - | 0 | 0 | A | INACTIVE |
| Unified Security Assets, Inc. CRD: 17304 | - | 0 | 0 | A | INACTIVE |
| Unified Wealth Management LLC CRD: 284553 | - | 0 | 1 | - | Unknown |
| Unified Wealth Management, LLC CRD: 133202 | - | 0 | 0 | - | Unknown |
| Unifimoney RIA CRD: 328842 | - | 0 | 2 | - | Unknown |
| Unifimoney RIA, Inc. CRD: 309001 | - | 0 | 1 | - | Unknown |
| Unifimoney Securities LLC CRD: 321167 | - | 0 | 0 | A | INACTIVE |
| Unifirst Financial Group CRD: 20432 | - | 0 | 0 | A | INACTIVE |
| Uniform Wealth Management CRD: 291062 | - | 0 | 0 | - | Unknown |
| Unify Financial Advisors CRD: 324120 | - | 0 | 1 | - | Unknown |
| Unify Wealth CRD: 170966 | - | 0 | 0 | - | Unknown |
| Unify Wealth Management LLC CRD: 277063 | - | 0 | 1 | - | Unknown |
| Unigestion (UK) Ltd CRD: 282265 | - | 0 | 0 | - | Unknown |
| Unigestion (US) Ltd CRD: 305038 | - | 0 | 1 | - | Unknown |
| Unigestion SA CRD: 299224 | - | 0 | 0 | - | Unknown |
| Unikisla Capital LLC CRD: 328535 | - | 0 | 0 | - | Unknown |
| Unimar CRD: 159674 | - | 0 | 1 | - | Unknown |
| Unio Capital LLC CRD: 166483 | - | 0 | 1 | - | Unknown |
| Union Acquisition Group CRD: 313033 | - | 0 | 0 | - | Unknown |
| Union Capital Associates, L.P. CRD: 285154 | - | 0 | 1 | - | Unknown |
| Union Capital Company CRD: 110301 | AZ | 2 | 11 | B | Active |
| Union Capital Corporation CRD: 163066 | - | 0 | 0 | - | Unknown |
| Union Capital Management Corp CRD: 109670 | - | 0 | 1 | - | Unknown |
| Union Capital Securities, Inc. CRD: 14991 | - | 0 | 0 | A | INACTIVE |
| Union Eiendomskapital Uref as CRD: 173013 | - | 0 | 0 | - | Unknown |
| Union Equity Partners, Inc. CRD: 28890 | - | 0 | 0 | A | INACTIVE |
| Union Exchange Securities, Incorporated CRD: 15191 | - | 0 | 0 | A | INACTIVE |
| Union Financial Corp. CRD: 30650 | - | 0 | 0 | A | INACTIVE |
| Union Financial Partners, SAN Francisco, Inc. CRD: 127310 | - | 0 | 0 | - | Unknown |
| Union Financial Services, Inc. CRD: 15237 | - | 0 | 0 | A | INACTIVE |
| Union Grove Capital, LLC CRD: 339693 | - | 0 | 1 | - | Unknown |
| Union Grove Venture Partners CRD: 170880 | - | 0 | 1 | - | Unknown |