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 |
|---|---|---|---|---|---|
| Base Systems, LLC CRD: 46951 | - | 0 | 0 | A | INACTIVE |
| Base Venture Management, Inc. CRD: 325088 | - | 0 | 1 | - | Unknown |
| Base Wealth Management CRD: 321991 | - | 0 | 1 | - | Unknown |
| Base-2 Markets, LLC CRD: 141154 | - | 2 | 0 | B | INACTIVE |
| Base10 Partners Management LLC CRD: 288914 | - | 0 | 1 | - | Unknown |
| Base4 Capital LP CRD: 317334 | - | 0 | 1 | - | Unknown |
| Basecamp Wealth Advisors, LLC CRD: 334018 | - | 0 | 1 | - | Unknown |
| Basecamp Wealth Management, LLC CRD: 286661 | - | 0 | 0 | - | Unknown |
| Based Capital Wealth LLC CRD: 333173 | - | 0 | 1 | - | Unknown |
| Baseline Financial Solutions, LLC CRD: 309816 | - | 0 | 0 | - | Unknown |
| Baseline Growth Capital CRD: 312538 | - | 0 | 1 | - | Unknown |
| Baseline Investments, LLC CRD: 296898 | - | 0 | 1 | - | Unknown |
| Baseline Partners LLC CRD: 301762 | - | 0 | 1 | - | Unknown |
| Baseline Securities, Inc. CRD: 119257 | - | 0 | 0 | A | INACTIVE |
| Baseline Ventures CRD: 294309 | - | 0 | 1 | - | Unknown |
| Baseline Wealth Advisors CRD: 337391 | - | 0 | 1 | - | Unknown |
| Baseline Wealth Management Ltd. CRD: 155526 | - | 0 | 0 | - | Unknown |
| Basenji Financial, Inc. CRD: 165014 | - | 0 | 0 | - | Unknown |
| Basepoint Advisors LLC CRD: 316715 | - | 0 | 1 | - | Unknown |
| Basepoint Wealth, LLC CRD: 289538 | - | 0 | 1 | - | Unknown |
| Baserock Capital, LLC CRD: 328592 | CO | 0 | 3 | A | Active |
| Basic Capital Advisors LLC CRD: 323734 | - | 0 | 2 | - | Unknown |
| Basic Capital Advisors, LLC CRD: 141482 | - | 0 | 0 | A | INACTIVE |
| Basic Capital LLC CRD: 170770 | - | 0 | 0 | - | Unknown |
| Basic Investors Inc. CRD: 1187 | - | 7 | 0 | D | INACTIVE |
| Basic Securities Investment Company CRD: 13828 | - | 0 | 0 | A | INACTIVE |
| Basic Wealth Advisors, Inc CRD: 163998 | - | 0 | 0 | - | Unknown |
| Basicvalue Asset Management Inc. CRD: 112273 | - | 0 | 2 | - | Unknown |
| Basil Financial Group CRD: 156876 | - | 0 | 0 | - | Unknown |
| Basil Investment Corporation CRD: 1188 | - | 1 | 0 | B | INACTIVE |
| Basil Investment Group LLC CRD: 46794 | - | 0 | 0 | A | INACTIVE |
| Basile Financial Group, Inc. CRD: 289419 | - | 0 | 3 | - | Unknown |
| Basilic CRD: 329731 | - | 0 | 1 | - | Unknown |
| Basin Exploration Securities, Inc. CRD: 13996 | - | 0 | 0 | A | INACTIVE |
| Basin OIL and GAS Management, LP CRD: 289099 | - | 0 | 1 | - | Unknown |
| Basis Asset Management Limited CRD: 322468 | - | 0 | 0 | - | Unknown |
| Basis Financial Planning CRD: 312270 | - | 0 | 0 | - | Unknown |
| Basis Financial, LLC CRD: 43694 | - | 4 | 0 | C | INACTIVE |
| Basis Management Group LLC CRD: 282518 | - | 0 | 1 | - | Unknown |
| Basis Point Investments CRD: 316854 | - | 0 | 2 | - | Unknown |
| Basis Point LLC CRD: 305327 | - | 0 | 0 | - | Unknown |
| Basis SET Builders, LLC CRD: 313162 | - | 0 | 1 | - | Unknown |
| Basis SET Ventures, LLC CRD: 289323 | - | 0 | 1 | - | Unknown |
| Basis TAX Advisory LLC CRD: 325949 | - | 0 | 0 | - | Unknown |
| Baskerville Capital Management, LLC CRD: 158289 | - | 0 | 1 | - | Unknown |
| Baskets Capital LLC CRD: 315226 | - | 0 | 1 | - | Unknown |
| Baskin Financial Planning CRD: 313393 | - | 0 | 1 | - | Unknown |
| Baskir Capital Management LLC CRD: 166457 | - | 0 | 1 | - | Unknown |
| Basler Capital Partners, LLC CRD: 310964 | - | 0 | 1 | - | Unknown |
| Bason Asset Management CRD: 165450 | - | 0 | 2 | - | Unknown |