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 |
|---|---|---|---|---|---|
| Universal Securities Corporation CRD: 846 | - | 0 | 0 | A | INACTIVE |
| Universal Securities of America, Inc. CRD: 11529 | - | 0 | 0 | A | INACTIVE |
| Universal Value Advisors CRD: 285644 | - | 0 | 1 | - | Unknown |
| Universal Ventures Ltd. CRD: 14739 | - | 0 | 0 | A | INACTIVE |
| Universal Wealth Management LLC CRD: 333585 | - | 0 | 3 | - | Unknown |
| Universe, Inc. CRD: 130730 | - | 0 | 1 | - | Unknown |
| University Alumni Funds LLC CRD: 45088 | - | 1 | 0 | B | INACTIVE |
| University Avenue Capital Management LLC CRD: 338688 | - | 0 | 1 | - | Unknown |
| University Equities Corporation CRD: 16762 | - | 0 | 0 | A | INACTIVE |
| University Financial Strategies, LLC. CRD: 297121 | - | 0 | 1 | - | Unknown |
| University Partners Investment Group, Inc. CRD: 17892 | - | 0 | 0 | A | INACTIVE |
| University Sales Corporation CRD: 14825 | - | 0 | 0 | A | INACTIVE |
| University Securities, Inc. CRD: 17694 | - | 0 | 0 | A | INACTIVE |
| University Ventures CRD: 163575 | - | 0 | 1 | - | Unknown |
| Univest Capital Markets, Inc. CRD: 16144 | - | 0 | 0 | A | INACTIVE |
| Univest Securities, LLC CRD: 36105 | NY | 2 | 1 | B | Active |
| Univest, Inc. CRD: 103929 | - | 0 | 0 | A | INACTIVE |
| Uniwealth Advisors, Inc. CRD: 138009 | - | 0 | 1 | - | Unknown |
| Uniwest Securities Corporation CRD: 8386 | - | 0 | 0 | A | INACTIVE |
| Unleashed Financial LLC CRD: 182522 | - | 0 | 1 | - | Unknown |
| Unless Management LP CRD: 318549 | - | 0 | 1 | - | Unknown |
| Unlimited CRD: 322644 | - | 0 | 1 | - | Unknown |
| Unlimited Capital Advisors LLC CRD: 313253 | - | 0 | 1 | - | Unknown |
| Unlimited Timing Service Inc CRD: 107770 | - | 0 | 1 | - | Unknown |
| Unlock Investments CRD: 327987 | - | 0 | 1 | - | Unknown |
| Unlock Venture Partners CRD: 291983 | - | 0 | 1 | - | Unknown |
| Unlu Securities Inc. CRD: 238786 | NY | 0 | 3 | A | Active |
| Unovis Asset Management LLC CRD: 311800 | - | 0 | 1 | - | Unknown |
| Unparalleled Investments CRD: 333328 | - | 0 | 2 | - | Unknown |
| Unpopular Ventures CRD: 312118 | - | 0 | 1 | - | Unknown |
| Unreasonable Capital CRD: 297132 | - | 0 | 1 | - | Unknown |
| Unreasonable Investment Management, LLC CRD: 330350 | - | 0 | 1 | - | Unknown |
| Unrivaled Wealth Management CRD: 325112 | - | 0 | 1 | - | Unknown |
| Unsaddl, Inc. CRD: 327159 | - | 0 | 0 | - | Unknown |
| Unsupervised Capital Management, LLC CRD: 335890 | - | 0 | 1 | - | Unknown |
| Untamed Capital Management, LLC CRD: 321863 | - | 0 | 1 | - | Unknown |
| Untapped Capital, LLC CRD: 312669 | - | 0 | 1 | - | Unknown |
| Unterberg Capital, LLC CRD: 282310 | - | 0 | 0 | - | Unknown |
| Untitled Investments LP CRD: 306357 | - | 0 | 1 | - | Unknown |
| Unum Sales Corporation CRD: 5406 | - | 0 | 0 | A | INACTIVE |
| Unusual Ventures CRD: 297551 | - | 0 | 1 | - | Unknown |
| Unverferth Financial CRD: 284153 | - | 0 | 0 | - | Unknown |
| UNX LLC CRD: 46145 | - | 2 | 0 | B | INACTIVE |
| UOB Alternative Investment Management PTE. Ltd. CRD: 167843 | - | 0 | 0 | - | Unknown |
| UOB Global Capital LLC CRD: 160659 | - | 0 | 1 | - | Unknown |
| UOB Global Equity Sales LLC CRD: 126500 | NY | 0 | 2 | A | Active |
| UOB KAY Hian (U.S.) Inc. CRD: 127314 | - | 0 | 0 | A | Active |
| Uoolu CRD: 290580 | - | 0 | 0 | - | Unknown |
| UP Capital Management, Inc. CRD: 164692 | - | 0 | 2 | - | Unknown |
| UP Financial USA Inc. CRD: 326602 | - | 0 | 0 | - | Unknown |