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 |
|---|---|---|---|---|---|
| UP Fintech Asset Management CRD: 285915 | - | 0 | 1 | - | Unknown |
| UP Funds, LLC CRD: 312639 | - | 0 | 0 | - | Unknown |
| UP North Financial, LLC CRD: 150996 | - | 0 | 1 | - | Unknown |
| UP Partners Management Company, LLC CRD: 309765 | - | 0 | 1 | - | Unknown |
| Up&up Capital, Inc. CRD: 315567 | - | 0 | 1 | - | Unknown |
| Upbeat Financial CRD: 312754 | - | 0 | 1 | - | Unknown |
| Upbeat Wealth CRD: 314880 | - | 0 | 3 | - | Unknown |
| Updata Partners CRD: 160994 | - | 0 | 1 | - | Unknown |
| Updata Securities, Inc. CRD: 128333 | - | 0 | 0 | A | INACTIVE |
| Upfront Financial Planning, LLC CRD: 328638 | - | 0 | 2 | - | Unknown |
| Upfront Ventures CRD: 175144 | - | 0 | 1 | - | Unknown |
| Upfront Ventures CRD: 158947 | - | 0 | 0 | - | Unknown |
| Uphold Asset Management, Ltd. CRD: 315786 | - | 0 | 0 | - | Unknown |
| Uphold Securities Inc. CRD: 34071 | NY | 1 | 2 | B | Active |
| Upholdings CRD: 301340 | - | 0 | 2 | - | Unknown |
| Uphorizon, LLC CRD: 328256 | CA | 0 | 2 | A | Active |
| UPI Management, LLC CRD: 175182 | - | 0 | 1 | - | Unknown |
| Upkeep Financial CRD: 313221 | - | 0 | 1 | - | Unknown |
| Upland Capital Management, LLC CRD: 125664 | - | 0 | 1 | - | Unknown |
| Upland Financial Management, LLC CRD: 281471 | - | 0 | 0 | - | Unknown |
| Upland Investment Advisors, LLC CRD: 304149 | - | 0 | 1 | - | Unknown |
| Upland Securities Corp. CRD: 15284 | - | 0 | 0 | A | INACTIVE |
| Upleft Asset Management CRD: 298637 | - | 0 | 2 | - | Unknown |
| Uplevel Wealth CRD: 312641 | - | 0 | 1 | - | Unknown |
| Uplift CRD: 335515 | - | 0 | 1 | - | Unknown |
| Uplift Investing, Inc CRD: 291364 | - | 0 | 1 | - | Unknown |
| Uplifting Capital CRD: 321054 | - | 0 | 0 | - | Unknown |
| Uplyft Opportunities, LLC CRD: 317666 | - | 0 | 1 | - | Unknown |
| Upmarket Management LLC CRD: 336095 | - | 0 | 1 | - | Unknown |
| Upmarket Securities LLC CRD: 295634 | CA | 2 | 4 | B | Active |
| UPP Management, LP CRD: 342664 | - | 0 | 1 | - | Unknown |
| Upper 90 Investment Advisors CRD: 172099 | - | 0 | 0 | - | Unknown |
| Upper Basin Capital, LLC CRD: 312789 | - | 0 | 2 | - | Unknown |
| Upper BAY Infrastructure Management, LP CRD: 297494 | - | 0 | 0 | - | Unknown |
| Upper Hand Advisers LLC CRD: 300455 | - | 0 | 0 | - | Unknown |
| Upper Left Wealth Management, LLC CRD: 288762 | - | 0 | 2 | - | Unknown |
| Upper90 CRD: 304179 | - | 0 | 1 | - | Unknown |
| Upperline Financial Planning, LLC CRD: 155219 | - | 0 | 0 | - | Unknown |
| Upraise Wealth Advisory, LLC CRD: 337661 | - | 0 | 1 | - | Unknown |
| Uprety Capital CRD: 337708 | - | 0 | 1 | - | Unknown |
| Upright Financial Corp CRD: 107303 | - | 0 | 1 | - | Unknown |
| Upright Financial, LLC CRD: 298143 | - | 0 | 0 | - | Unknown |
| Uprise Advisers LLC CRD: 322959 | - | 0 | 3 | - | Unknown |
| Uprise Financial Planning CRD: 291338 | - | 0 | 0 | - | Unknown |
| Uprising Management, LLC CRD: 174730 | - | 0 | 1 | - | Unknown |
| Upriver Capital Management, LLC CRD: 309392 | - | 0 | 0 | - | Unknown |
| Upromise Finance, Inc. CRD: 104329 | - | 0 | 0 | A | INACTIVE |
| Upside Brokerage, LLC CRD: 164816 | - | 0 | 0 | A | INACTIVE |
| Upside Financial CRD: 314741 | - | 0 | 0 | - | Unknown |
| Upside Financial, LLC CRD: 173084 | - | 0 | 0 | - | Unknown |