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 |
|---|---|---|---|---|---|
| 8TH Street Investments, LLC CRD: 148727 | - | 0 | 1 | - | Unknown |
| 9 Stream Capital Partners LLC CRD: 340394 | - | 0 | 1 | - | Unknown |
| 90Capital, LLC CRD: 175251 | - | 0 | 0 | - | Unknown |
| 917 Advisory Services LLC CRD: 331476 | - | 0 | 1 | - | Unknown |
| 922 Ventures CRD: 331734 | - | 0 | 1 | - | Unknown |
| 9258 Wealth Management, LLC CRD: 290693 | - | 0 | 0 | - | Unknown |
| 93 Capital Partners, LLC CRD: 291123 | - | 0 | 0 | - | Unknown |
| 93 Financial Group, LLC CRD: 144235 | - | 0 | 1 | - | Unknown |
| 95 Impact Capital, Inc. CRD: 284887 | - | 0 | 1 | - | Unknown |
| 95 Impact Partners, LLC CRD: 323964 | - | 0 | 2 | - | Unknown |
| 957 Advisors LLC CRD: 326948 | - | 0 | 0 | - | Unknown |
| 9606 Capital CRD: 324129 | - | 0 | 1 | - | Unknown |
| 9823 Capital, LP CRD: 324329 | - | 0 | 1 | - | Unknown |
| 994 Group CRD: 292730 | - | 0 | 0 | - | Unknown |
| 994 Group CRD: 289923 | - | 0 | 1 | - | Unknown |
| 99Rises Inc. CRD: 309803 | - | 0 | 0 | - | Unknown |
| 9D Capital LLC CRD: 308524 | - | 0 | 5 | - | Unknown |
| 9I Capital Group LLC CRD: 323057 | - | 0 | 1 | - | Unknown |
| 9INE Financial CRD: 286122 | - | 0 | 0 | - | Unknown |
| 9M Investments, LLC CRD: 289320 | - | 0 | 1 | - | Unknown |
| 9Mile Labs CRD: 169419 | - | 0 | 0 | - | Unknown |
| 9Yards Capital Management LP CRD: 299727 | - | 0 | 1 | - | Unknown |
| A & C Investment, Inc. CRD: 116708 | - | 0 | 2 | - | Unknown |
| A & E Capital Group, Inc. CRD: 24620 | - | 0 | 0 | A | INACTIVE |
| A & I Wealth Management CRD: 148357 | - | 0 | 11 | - | Unknown |
| A & L Financial Services, LLC CRD: 122172 | - | 0 | 3 | - | Unknown |
| A & L Personal Business Management, LLC CRD: 334626 | - | 0 | 1 | - | Unknown |
| A & M Securities, LLC CRD: 39345 | - | 0 | 0 | A | INACTIVE |
| A & P Wealth Management CRD: 281261 | - | 0 | 3 | - | Unknown |
| A B L E Wealth Management Solutions LLC CRD: 301257 | - | 0 | 1 | - | Unknown |
| A B Wong Capital LLC CRD: 124360 | - | 1 | 0 | B | INACTIVE |
| A Better WAY Financial, LLC CRD: 304914 | - | 0 | 1 | - | Unknown |
| A C Securities, Inc. CRD: 1340 | - | 0 | 0 | A | INACTIVE |
| A C Western Investment Co., Inc. CRD: 16635 | - | 0 | 0 | A | INACTIVE |
| A FIN Management LLC CRD: 315482 | - | 0 | 1 | - | Unknown |
| A J Feldman Financial, LLC CRD: 154773 | - | 0 | 1 | - | Unknown |
| A More Certain Path CRD: 317497 | - | 0 | 2 | - | Unknown |
| A Narrow Road, LLC CRD: 290033 | - | 0 | 1 | - | Unknown |
| A NEW Approach Financial Planning CRD: 139575 | - | 0 | 0 | - | Unknown |
| A P Management Company III CRD: 166549 | - | 0 | 0 | - | Unknown |
| A Penny Planned CRD: 318938 | - | 0 | 0 | - | Unknown |
| A R Securities, Inc. CRD: 20814 | - | 0 | 0 | A | INACTIVE |
| A Schaffer Advisor Services CRD: 318140 | - | 0 | 1 | - | Unknown |
| A Sling & a Stone, Incorporated CRD: 134943 | - | 0 | 1 | - | Unknown |
| A Small Investment CRD: 332816 | - | 0 | 2 | - | Unknown |
| A Smarter WAY to Invest CRD: 166170 | - | 0 | 3 | - | Unknown |
| A Sound Choice Financial CRD: 153973 | - | 0 | 0 | - | Unknown |
| A Squared Partners LLC CRD: 309815 | - | 0 | 1 | - | Unknown |
| A to Z Asset Advisors, LLC CRD: 146146 | - | 0 | 1 | - | Unknown |
| A to Z Financial Planning LLC CRD: 146960 | - | 0 | 1 | - | Unknown |