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 |
|---|---|---|---|---|---|
| USA Group Financial Services, Inc. CRD: 30523 | - | 0 | 0 | A | INACTIVE |
| USA Mutuals Advisors, Inc. CRD: 131750 | - | 0 | 2 | - | Unknown |
| USA Retirement Income Solutions, LLC CRD: 132236 | - | 0 | 1 | - | Unknown |
| USA Securities, Inc. CRD: 13385 | - | 0 | 0 | A | INACTIVE |
| USA Securities, Inc. CRD: 11004 | - | 0 | 0 | A | INACTIVE |
| USA Securities, LLC CRD: 118651 | - | 0 | 0 | A | INACTIVE |
| USA-Continental Investors Group,Inc. CRD: 15513 | - | 0 | 0 | A | INACTIVE |
| USA-LIVING.COM, Inc. CRD: 148862 | - | 0 | 0 | - | Unknown |
| Usaa Asset Management Company CRD: 159030 | - | 0 | 0 | - | Unknown |
| Usaa Equity Advisors, Inc. CRD: 30275 | - | 0 | 0 | A | INACTIVE |
| Usaa Financial Advisors, Inc. CRD: 129035 | - | 0 | 0 | A | INACTIVE |
| Usaa Financial Planning Services CRD: 106352 | - | 0 | 0 | - | Unknown |
| Usaa Investment Services Company CRD: 5475 | TX | 5 | 92 | B | Active |
| Usacapital Inc. CRD: 19674 | - | 1 | 0 | B | INACTIVE |
| Usadvisors Wealth Management, LLC CRD: 158108 | - | 0 | 14 | - | Unknown |
| USADVISORS.ORG CRD: 157403 | - | 0 | 0 | - | Unknown |
| Usaffinity Investments Limited Partnership CRD: 30490 | - | 0 | 0 | A | INACTIVE |
| Usafolios, LLC CRD: 169785 | - | 0 | 0 | - | Unknown |
| Usallianz Securities, Inc. CRD: 40875 | - | 3 | 0 | C | INACTIVE |
| Usaworld Capital LLC CRD: 146454 | - | 0 | 1 | - | Unknown |
| Usbx Advisory Services, LLC CRD: 104283 | - | 1 | 0 | B | INACTIVE |
| Usca Asset Management LLC CRD: 137045 | - | 0 | 1 | - | Unknown |
| Usca RIA LLC CRD: 152170 | - | 0 | 0 | - | Unknown |
| Usca Securities LLC CRD: 103789 | TX | 3 | 7 | B | Active |
| Uscf Advisers CRD: 171962 | - | 0 | 1 | - | Unknown |
| Usdr Investment Management CRD: 157472 | - | 0 | 0 | - | Unknown |
| Usex Inc CRD: 342295 | - | 0 | 1 | - | Unknown |
| USF Securities, L.P. CRD: 37942 | - | 1 | 0 | B | INACTIVE |
| Usf&g Investment Services, Inc. CRD: 18949 | - | 0 | 0 | A | INACTIVE |
| USH Securities Corporation CRD: 5311 | - | 0 | 0 | A | INACTIVE |
| USI Advisors CRD: 108113 | - | 0 | 68 | - | Unknown |
| USI Securities, Inc. CRD: 43793 | CT | 0 | 28 | A | Active |
| USL Securities Corporation CRD: 11236 | - | 0 | 0 | A | INACTIVE |
| Uslife Equity Sales Corp. CRD: 7962 | - | 0 | 0 | A | INACTIVE |
| Usmart Capital, LLC CRD: 329365 | NY | 0 | 4 | A | Active |
| Usonian Investments LLC CRD: 288906 | - | 0 | 0 | - | Unknown |
| USP Securities Corporation CRD: 47725 | TX | 1 | 2 | B | Active |
| USQ Securities LLC CRD: 299008 | NY | 1 | 2 | B | Active |
| Usrem Securities LLC CRD: 317571 | NY | 0 | 2 | A | Active |
| Usrp Equities, LLC CRD: 149113 | - | 0 | 0 | A | INACTIVE |
| Ussery Brokerage CRD: 20045 | - | 0 | 0 | A | INACTIVE |
| UST Financial Services Corp. CRD: 36881 | - | 0 | 0 | A | INACTIVE |
| UST Securities Corp. CRD: 13906 | - | 5 | 0 | C | INACTIVE |
| Ustocktrade Securities, Inc. CRD: 16208 | - | 2 | 0 | B | INACTIVE |
| UT Capital Corporation CRD: 17561 | - | 0 | 0 | A | INACTIVE |
| UTA Investcorp Investment Management, LLC CRD: 324979 | - | 0 | 1 | - | Unknown |
| UTA LLC CRD: 315427 | - | 0 | 3 | - | Unknown |
| UTA Ventures Capital Partners Investment Manager L… CRD: 309978 | - | 0 | 1 | - | Unknown |
| Utah Investment Advisors LLC CRD: 312482 | - | 0 | 0 | - | Unknown |
| Utah Peaks Capital CRD: 318446 | - | 0 | 0 | - | Unknown |