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 |
|---|---|---|---|---|---|
| Upside LAB Advisors Inc. CRD: 304862 | - | 0 | 1 | - | Unknown |
| Upside Marketplace, LLC CRD: 319501 | - | 0 | 0 | A | INACTIVE |
| Upside Partnership CRD: 172594 | - | 0 | 1 | - | Unknown |
| Upskill Wealth Management, LLC CRD: 332762 | - | 0 | 0 | - | Unknown |
| Upslope Capital Management, LLC CRD: 288497 | - | 0 | 1 | - | Unknown |
| Upslope Venture Fund I, LLC CRD: 170844 | - | 0 | 1 | - | Unknown |
| Upspring Capital LLC CRD: 292010 | - | 0 | 2 | - | Unknown |
| Upstart Network, Inc. CRD: 167083 | - | 0 | 0 | - | Unknown |
| Upstart Wealth Management, LLC CRD: 173728 | - | 0 | 4 | - | Unknown |
| Upstate Advisers Inc CRD: 341449 | - | 0 | 1 | - | Unknown |
| Upstate Advisors Group CRD: 135107 | - | 0 | 1 | - | Unknown |
| Upstate Advisors Inc CRD: 108779 | - | 0 | 0 | - | Unknown |
| Upstate Financial Planning, LLC CRD: 321092 | - | 0 | 1 | - | Unknown |
| Upstox USA Inc. CRD: 306889 | - | 0 | 0 | A | INACTIVE |
| Upstream Capital Partners, LP CRD: 135335 | - | 2 | 0 | B | INACTIVE |
| Upstream Financial Advisors LLC CRD: 329292 | - | 0 | 2 | - | Unknown |
| Upstream Life Wealth Management LLC CRD: 330469 | - | 0 | 0 | - | Unknown |
| Uptick Advisory CRD: 314521 | - | 0 | 0 | - | Unknown |
| Uptick Capital Management, LLC CRD: 328602 | - | 0 | 1 | - | Unknown |
| Uptick Partners, LLC CRD: 324250 | - | 0 | 14 | - | Unknown |
| Upton Advisors, LLC CRD: 132487 | - | 0 | 0 | A | INACTIVE |
| Uptown Capital Advisors CRD: 171401 | - | 0 | 1 | - | Unknown |
| Upturn Corporation CRD: 290614 | - | 0 | 0 | - | Unknown |
| Upward Financial Planning CRD: 321825 | - | 0 | 1 | - | Unknown |
| Upward Personal Finance CRD: 281825 | - | 0 | 0 | - | Unknown |
| Upwelling Capital Group LLC CRD: 164653 | - | 0 | 0 | - | Unknown |
| Upwest Labs Management, LLC CRD: 297392 | - | 0 | 1 | - | Unknown |
| UR Financial, Inc. CRD: 10509 | - | 0 | 0 | A | INACTIVE |
| URB Advisors, LLC CRD: 130746 | - | 0 | 0 | - | Unknown |
| Urban Financial Advisory Corporation CRD: 110057 | - | 0 | 2 | - | Unknown |
| Urban Fund Management, LLC CRD: 167491 | - | 0 | 1 | - | Unknown |
| Urban Infrastructure Capital Advisors, Mauritius CRD: 163549 | - | 0 | 0 | - | Unknown |
| Urban Innovation Fund CRD: 284786 | - | 0 | 0 | - | Unknown |
| Urban Innovation Management LLC CRD: 325983 | - | 0 | 1 | - | Unknown |
| Urban Investment Advisors CRD: 222524 | - | 0 | 1 | - | Unknown |
| Urban Land Capital, LLC CRD: 300738 | - | 0 | 1 | - | Unknown |
| Urban Partners Management Company S.A. CRD: 332597 | - | 0 | 0 | - | Unknown |
| Urban Wealth Management or UWM CRD: 285633 | - | 0 | 1 | - | Unknown |
| Urban, Jeffrey CRD: 315527 | - | 0 | 0 | - | Unknown |
| Urbanamerica Advisors, LLC CRD: 152044 | - | 0 | 0 | - | Unknown |
| Urbanamerica Principals II, LLC CRD: 152649 | - | 0 | 0 | - | Unknown |
| Urbanamerica Principals III, LLC CRD: 152151 | - | 0 | 0 | - | Unknown |
| Urbanamerica Principals, LLC CRD: 152648 | - | 0 | 0 | - | Unknown |
| Urbanite Capital, LLC CRD: 317829 | - | 0 | 1 | - | Unknown |
| Urbanite Transcend, LLC CRD: 309095 | - | 0 | 0 | - | Unknown |
| Urbanstone Capital LLC CRD: 333772 | - | 0 | 1 | - | Unknown |
| Urbas Beveridge CRD: 315547 | - | 0 | 0 | - | Unknown |
| Urbro, LP CRD: 119822 | - | 0 | 0 | A | INACTIVE |
| Urchin Capital Partners, LLC CRD: 45691 | - | 1 | 0 | B | INACTIVE |
| Urfer Capital Markets, Inc. CRD: 22576 | - | 0 | 0 | A | INACTIVE |