Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Ewco, Inc. CRD: 8080 | — | 0 | 0 | A | INACTIVE |
| Ewing & Partners, LLC CRD: 114980 | — | 0 | 0 | A | Unknown |
| Ewing Bemiss CRD: 32214 | — | 0 | 0 | A | INACTIVE |
| Ewing Capital, Inc. CRD: 10841 | — | 0 | 0 | A | INACTIVE |
| EWM Advisory CRD: 282616 | — | 0 | 1 | A | Unknown |
| Eworth Advisors CRD: 306740 | — | 0 | 0 | A | Unknown |
| EWP CRD: 172193 | — | 0 | 0 | A | Unknown |
| EWS Management LLC CRD: 327166 | — | 0 | 1 | A | Unknown |
| EX Cathedra LLC CRD: 331577 | — | 0 | 1 | A | Unknown |
| EX/Ante LLC CRD: 326170 | — | 0 | 1 | A | Unknown |
| EX24, Inc. CRD: 120449 | — | 0 | 0 | A | INACTIVE |
| Exane, Inc. CRD: 41784 | — | 4 | 0 | C | INACTIVE |
| Excalibur Management Corp CRD: 110836 | — | 0 | 6 | A | Unknown |
| Exceed Advisory LLC CRD: 170403 | — | 0 | 2 | A | Unknown |
| Excel Advisors, LLC CRD: 132050 | — | 0 | 0 | A | Unknown |
| Excellere Partners CRD: 142904 | — | 0 | 1 | A | Unknown |
| Excelsior CRD: 311850 | — | 0 | 2 | A | Unknown |
| Excelsior Equities CRD: 309158 | — | 0 | 0 | A | INACTIVE |
| Excolere Equity Partners, LLC CRD: 324822 | — | 0 | 1 | A | Unknown |
| Excypher Exchange Ltd CRD: 338500 | — | 0 | 1 | A | Unknown |
| Exds Capital CRD: 338093 | — | 0 | 0 | A | Unknown |
| Executive Money Managers, Inc. CRD: 128362 | — | 0 | 3 | A | Unknown |
| Exelt, LLC CRD: 165423 | — | 0 | 0 | A | Unknown |
| Exeq Financial, LLC. CRD: 238796 | — | 0 | 0 | A | Unknown |
| Exeter Capital CRD: 308310 | — | 0 | 1 | A | Unknown |
| Exeter Securities Corp. CRD: 26814 | — | 0 | 0 | A | INACTIVE |
| Exeter Trust Corp CRD: 106556 | — | 0 | 0 | A | Unknown |
| Exeter, Ltd. CRD: 24454 | — | 1 | 0 | B | INACTIVE |
| Exhale Wealth CRD: 319219 | — | 0 | 1 | A | Unknown |
| Exico, Inc. CRD: 157254 | — | 0 | 0 | A | Unknown |
| Exigent Financial CRD: 308428 | — | 0 | 0 | A | Unknown |
| Exigent Management Ltd. CRD: 286426 | — | 0 | 0 | A | Unknown |
| Exit Quotient Ventures, LLC CRD: 323843 | — | 0 | 1 | A | Unknown |
| Exline Capital CRD: 318683 | — | 0 | 1 | A | Unknown |
| EXO Trading GP LLC CRD: 306425 | — | 0 | 0 | A | Unknown |
| Exos Securities LLC CRD: 298276 | NY | 0 | 3 | A | Active |
| Expa EC3 MGMT, LLC CRD: 323655 | — | 0 | 1 | A | Unknown |
| Expam Capital CRD: 301956 | — | 0 | 0 | A | Unknown |
| Expansion LLC CRD: 332871 | — | 0 | 2 | A | Unknown |
| Expect Equity LLC CRD: 324496 | — | 0 | 1 | A | Unknown |
| Experience Your Wealth, LLC CRD: 305991 | — | 0 | 3 | A | Unknown |
| Expgrow LLC CRD: 290154 | — | 0 | 0 | A | Unknown |
| Explora Investments CRD: 159366 | — | 0 | 0 | A | Unknown |
| Explora S.A. CRD: 169476 | — | 0 | 0 | A | Unknown |
| Explorer Equity Group, LLC CRD: 289752 | — | 0 | 1 | A | Unknown |
| Exponent Private Equity LLP CRD: 160069 | — | 0 | 0 | A | Unknown |
| Exponent Wealth LLC CRD: 334968 | — | 0 | 6 | A | Unknown |
| Exponential Etfs CRD: 161626 | — | 0 | 0 | A | Unknown |
| Exponential Zaisan Partners, LLC CRD: 324159 | — | 0 | 0 | A | Unknown |
| EXT Electronic Exchange Trading, Inc. CRD: 47385 | — | 2 | 0 | B | INACTIVE |