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 |
|---|---|---|---|---|---|
| UTC Financial Services USA, Inc. CRD: 119529 | - | 1 | 0 | B | INACTIVE |
| UTC Fund Services, Inc. CRD: 149222 | - | 0 | 0 | - | Unknown |
| UTC Securities,Inc. CRD: 14568 | - | 0 | 0 | A | INACTIVE |
| Utendahl Capital Group, LLC CRD: 113617 | - | 0 | 0 | A | INACTIVE |
| Utendahl Capital Partners, L.P. CRD: 30115 | - | 3 | 0 | C | INACTIVE |
| Utes Wealth Strategies CRD: 300310 | - | 0 | 1 | - | Unknown |
| UTI Asset Management Company Limited CRD: 328924 | - | 0 | 0 | - | Unknown |
| UTI Investments America Limited CRD: 330110 | - | 0 | 2 | - | Unknown |
| UTI Venture Funds Management Company Private Limit… CRD: 288931 | - | 0 | 0 | - | Unknown |
| Utility Capital Partners, LLC CRD: 312158 | TN | 0 | 2 | A | Active |
| Utopia Wealth Management, LLC CRD: 300266 | - | 0 | 2 | - | Unknown |
| Utxo Management GP, LLC CRD: 306365 | - | 0 | 1 | - | Unknown |
| Utxo Ventures, LLC CRD: 331930 | - | 0 | 1 | - | Unknown |
| UU Equities, Inc. CRD: 142808 | - | 0 | 0 | A | INACTIVE |
| Uvest Advisory Group, LLC CRD: 292564 | - | 0 | 1 | - | Unknown |
| Uvest Brokerage Services CRD: 13167 | - | 0 | 0 | A | INACTIVE |
| Uvest Financial Services Group, Inc. CRD: 13787 | - | 30 | 0 | F | INACTIVE |
| Uwharrie Investment Advisors, Inc. CRD: 117592 | - | 0 | 7 | - | Unknown |
| UX Wealth Partners LLC CRD: 308983 | - | 0 | 5 | - | Unknown |
| Uyana Partners LLC CRD: 300280 | - | 0 | 2 | - | Unknown |
| Uzume LLC CRD: 319310 | - | 0 | 0 | - | Unknown |
| V Delima Investments Inc CRD: 310379 | - | 0 | 1 | - | Unknown |
| V Financial Advisors, LLC CRD: 292019 | - | 0 | 0 | - | Unknown |
| V P Securities, Inc. CRD: 16615 | - | 0 | 0 | A | INACTIVE |
| V R Securities Corporation CRD: 16379 | - | 0 | 0 | A | INACTIVE |
| V Square Capital CRD: 331857 | - | 0 | 1 | - | Unknown |
| V Square Capital, LLC CRD: 313198 | - | 0 | 0 | - | Unknown |
| V V P Advisors Inc. CRD: 325608 | - | 0 | 1 | - | Unknown |
| V Wealth Advisors LLC CRD: 153278 | - | 0 | 0 | - | Unknown |
| V&S Investment Co., Ltd CRD: 175353 | - | 0 | 0 | - | Unknown |
| V-Square Quantitative Management CRD: 310355 | - | 0 | 1 | - | Unknown |
| V. Barba Company CRD: 131730 | - | 0 | 0 | - | Unknown |
| V. Derivatives, LLC CRD: 151893 | - | 1 | 0 | B | INACTIVE |
| V. M. Manning & Co., Inc. CRD: 2655 | - | 1 | 1 | B | INACTIVE |
| V. M. Ruch & Co., Inc. CRD: 3241 | - | 0 | 0 | A | INACTIVE |
| V.F. Minton Securities, Inc. CRD: 20642 | - | 0 | 0 | A | INACTIVE |
| V.H. Costello Securities, Inc. CRD: 14864 | - | 0 | 0 | A | INACTIVE |
| V.H. King Associates CRD: 105705 | - | 0 | 0 | - | Unknown |
| V.I.P. Financial Companies CRD: 15100 | - | 0 | 0 | A | INACTIVE |
| V.J. Shah & Co., Inc. CRD: 3373 | - | 0 | 0 | A | INACTIVE |
| V.P. 3 Company (Management) Ltd. CRD: 296502 | - | 0 | 0 | - | Unknown |
| V.V.I. Securities Co.,Inc. CRD: 13861 | - | 0 | 0 | A | INACTIVE |
| V0 Management Company, LLC CRD: 335500 | - | 0 | 1 | - | Unknown |
| V1 VC, LLC CRD: 281489 | - | 0 | 1 | - | Unknown |
| V12 Management, LLC CRD: 160823 | - | 0 | 0 | - | Unknown |
| V2 Financial Group, LLC CRD: 142189 | - | 0 | 2 | - | Unknown |
| V2 Markets CRD: 326472 | - | 0 | 1 | - | Unknown |
| V29 Capital Management, LLC CRD: 338081 | - | 0 | 1 | - | Unknown |
| V2M Capital LLC CRD: 291136 | - | 0 | 1 | - | Unknown |
| V2V Securities LLC CRD: 131849 | - | 0 | 0 | A | INACTIVE |