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 |
|---|---|---|---|---|---|
| URI Capital Management, LLC CRD: 161988 | - | 0 | 1 | - | Unknown |
| Urrly, Inc. CRD: 321193 | - | 0 | 0 | - | Unknown |
| URS Advisory CRD: 289892 | - | 0 | 4 | - | Unknown |
| Ursa Financial, LLC CRD: 306491 | - | 0 | 1 | - | Unknown |
| Ursa Fund Management LLC CRD: 283363 | - | 0 | 1 | - | Unknown |
| Ursa Group, LLC CRD: 149272 | - | 2 | 0 | B | INACTIVE |
| Ursaner & Associates CRD: 112594 | - | 0 | 0 | - | Unknown |
| Ursula Management, LLC CRD: 172889 | - | 0 | 0 | - | Unknown |
| Urth Capital Advisors LLC CRD: 304217 | - | 0 | 0 | - | Unknown |
| US 1ST Wealth Management CRD: 117979 | - | 0 | 1 | - | Unknown |
| US Advanced Computing Infrastructure, Inc. CRD: 316375 | - | 0 | 1 | - | Unknown |
| US Advisory Group CRD: 109291 | - | 0 | 1 | - | Unknown |
| US Agriculture CRD: 282576 | - | 0 | 1 | - | Unknown |
| US Arma Partners LP CRD: 136024 | NY | 0 | 3 | A | Active |
| US Asset Management, LLC CRD: 124234 | - | 0 | 1 | - | Unknown |
| US Capital Global Investment Management LLC CRD: 283601 | - | 0 | 0 | - | Unknown |
| US Capital Global Securities, LLC CRD: 169544 | CA | 0 | 2 | A | Active |
| US Capital Global Wealth Management LLC CRD: 284435 | - | 0 | 0 | - | Unknown |
| US Capital Global Wealth Management, LLC CRD: 299885 | - | 0 | 4 | - | Unknown |
| US Debt Ventures Management, LP CRD: 159870 | - | 0 | 0 | - | Unknown |
| US Energy Ventures, LLC CRD: 292184 | - | 0 | 0 | - | Unknown |
| US Euro Securities, Inc CRD: 38839 | - | 0 | 0 | A | INACTIVE |
| US Financial Planners, LLC CRD: 337484 | - | 0 | 1 | - | Unknown |
| US Freedom Capital Advisors LLC CRD: 283481 | - | 0 | 1 | - | Unknown |
| US Fund Manager LLC CRD: 292094 | - | 0 | 2 | - | Unknown |
| US Growth Partners, LLC CRD: 318763 | - | 0 | 1 | - | Unknown |
| US Infravest Managers LP CRD: 312299 | - | 0 | 1 | - | Unknown |
| US Innovative Technology Capital Management, LLC CRD: 323370 | - | 0 | 1 | - | Unknown |
| US Invest, LLC CRD: 163047 | - | 0 | 0 | - | Unknown |
| US Israel Gefen Capital Management Ltd CRD: 286142 | - | 0 | 0 | - | Unknown |
| US Renewables Group CRD: 158058 | - | 0 | 0 | - | Unknown |
| US Select Asset Management, LLC CRD: 166672 | - | 0 | 1 | - | Unknown |
| US TAX Advisory Group, Inc. CRD: 125867 | - | 0 | 0 | A | INACTIVE |
| US Tiger Securities, Inc. CRD: 120583 | NY | 3 | 2 | B | Active |
| US Trading LLC CRD: 37426 | - | 6 | 0 | D | INACTIVE |
| US Wealth CRD: 310810 | - | 0 | 0 | - | Unknown |
| US Wealth Management Advisors CRD: 304346 | - | 0 | 0 | - | Unknown |
| US Wealth Management Advisors, LLC CRD: 327223 | - | 0 | 1 | - | Unknown |
| USA 401K CRD: 331130 | - | 0 | 1 | - | Unknown |
| USA Advanced Planners Inc. CRD: 131282 | - | 3 | 0 | C | INACTIVE |
| USA Asset Management, LLC CRD: 130946 | - | 0 | 2 | - | Unknown |
| USA Capital CRD: 16634 | - | 0 | 0 | A | INACTIVE |
| USA Equities, Inc. CRD: 10491 | - | 0 | 0 | A | INACTIVE |
| USA Financial Equities, Inc. CRD: 15417 | - | 0 | 0 | A | INACTIVE |
| USA Financial Exchange CRD: 283466 | - | 0 | 1 | - | Unknown |
| USA Financial Formulas Corporation CRD: 139987 | - | 0 | 2 | - | Unknown |
| USA Financial Group, Inc. CRD: 17819 | - | 0 | 0 | A | INACTIVE |
| USA Financial Resources Group, Inc. CRD: 139476 | - | 0 | 0 | - | Unknown |
| USA Financial Securities LLC CRD: 103857 | MI | 4 | 138 | B | Active |
| USA First Financial CRD: 318453 | - | 0 | 2 | - | Unknown |