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 |
|---|---|---|---|---|---|
| Union Hedge Funds, LLC CRD: 317826 | - | 0 | 0 | - | Unknown |
| Union Heritage Capital CRD: 309768 | - | 0 | 1 | - | Unknown |
| Union Heritage Venture Partners LLC CRD: 319588 | - | 0 | 1 | - | Unknown |
| Union Home Loans CRD: 14132 | - | 0 | 0 | A | INACTIVE |
| Union Investment Advisors, Inc CRD: 108240 | - | 0 | 0 | - | Unknown |
| Union Investments, Inc. CRD: 15190 | - | 0 | 0 | A | INACTIVE |
| Union Labs CRD: 312102 | - | 0 | 1 | - | Unknown |
| Union Park Capital Management, L.P. CRD: 169842 | - | 0 | 1 | - | Unknown |
| Union Planters Brokerage Services Inc. CRD: 27348 | - | 0 | 0 | A | INACTIVE |
| Union Planters Investment Bankers Group, Inc. CRD: 16493 | - | 0 | 0 | A | INACTIVE |
| Union Securities CRD: 7510 | - | 0 | 0 | A | INACTIVE |
| Union Square Advisors LLC CRD: 141254 | CA | 0 | 4 | A | Active |
| Union Square Capital Partners, LLC CRD: 288708 | - | 0 | 1 | - | Unknown |
| Union Square Global Wealth Management CRD: 111776 | - | 0 | 2 | - | Unknown |
| Union Square Park Capital Management, LLC CRD: 175471 | - | 0 | 1 | - | Unknown |
| Union Square Strategic Capital Management LLC CRD: 299168 | - | 0 | 0 | - | Unknown |
| Union Square Ventures CRD: 162375 | - | 0 | 1 | - | Unknown |
| Union Strategic Advisors CRD: 340640 | - | 0 | 1 | - | Unknown |
| Union Street Equities, Inc. CRD: 8215 | - | 0 | 0 | A | INACTIVE |
| Union Street Partners LLC CRD: 156148 | - | 0 | 1 | - | Unknown |
| Union Trust Brokerage Services, Inc. CRD: 25875 | - | 0 | 0 | A | INACTIVE |
| Union Wharf Securities, Inc. CRD: 10082 | - | 0 | 0 | A | INACTIVE |
| Unionrock Partners, LLC CRD: 314382 | - | 0 | 1 | - | Unknown |
| Unionview Wealth Partners CRD: 304462 | - | 0 | 0 | - | Unknown |
| Uniplan Financial Investments Inc. CRD: 166667 | - | 0 | 1 | - | Unknown |
| Uniplan Institutional Advisors LLC CRD: 314367 | - | 0 | 0 | - | Unknown |
| Uniplan Investment Counsel, Inc. CRD: 154718 | - | 0 | 3 | - | Unknown |
| Uniplan Real Estate Advisors, Inc. CRD: 105949 | - | 0 | 0 | - | Unknown |
| Unique Financial Advisors LLC CRD: 174124 | - | 0 | 1 | - | Unknown |
| Unique Investment Advisors, LLC CRD: 310170 | - | 0 | 2 | - | Unknown |
| Unique Wealth Strategies CRD: 323994 | - | 0 | 2 | - | Unknown |
| Unique Wealth, LLC CRD: 312462 | - | 0 | 4 | - | Unknown |
| Unise Investment Corp. CRD: 24087 | - | 1 | 0 | B | INACTIVE |
| Unison CRD: 155470 | - | 0 | 1 | - | Unknown |
| Unison Asset Management LLC CRD: 288249 | - | 0 | 1 | - | Unknown |
| Unison Capital Group CRD: 22519 | - | 1 | 0 | B | INACTIVE |
| Unison Capital Management PTE Ltd CRD: 160384 | - | 0 | 0 | - | Unknown |
| Unison Capital, Inc. CRD: 287942 | - | 0 | 0 | - | Unknown |
| Unison Capital, Inc. CRD: 329973 | - | 0 | 0 | - | Unknown |
| Unison Chorus LLC CRD: 311909 | - | 0 | 0 | - | Unknown |
| Unison Investment Management, LLC CRD: 150893 | - | 0 | 1 | - | Unknown |
| Unit Securities, Inc. CRD: 10206 | - | 0 | 0 | A | INACTIVE |
| Unitas Capital CRD: 162733 | - | 0 | 0 | - | Unknown |
| Unitas Capital CRD: 163933 | - | 0 | 0 | - | Unknown |
| Unitas Capital CRD: 163935 | - | 0 | 0 | - | Unknown |
| Unitas Capital CRD: 163943 | - | 0 | 0 | - | Unknown |
| Unitas Capital CRD: 162734 | - | 0 | 0 | - | Unknown |
| Unitas Partners LLC CRD: 331564 | - | 0 | 0 | - | Unknown |
| United Advisor Group CRD: 324205 | - | 0 | 48 | - | Unknown |
| United Advisors CRD: 133668 | - | 0 | 0 | - | Unknown |