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 |
|---|---|---|---|---|---|
| Bass and Bell, Inc. CRD: 300557 | - | 0 | 1 | - | Unknown |
| Bass Creek Advisors, Ltd CRD: 140578 | - | 0 | 0 | A | INACTIVE |
| Bass Financial Strategies, Inc. CRD: 118298 | - | 0 | 0 | - | Unknown |
| Bass Rocks, LLC / Bass Rocks Asset Management CRD: 327710 | - | 0 | 2 | - | Unknown |
| Bassam Wealth Management, LLC CRD: 330695 | - | 0 | 1 | - | Unknown |
| Bassett Financial Advisors CRD: 170825 | - | 0 | 1 | - | Unknown |
| Bassett Hargrove Investment Counsel, LLC CRD: 133580 | - | 0 | 0 | - | Unknown |
| Bassin, Bruce CRD: 283413 | - | 0 | 1 | - | Unknown |
| Basso Capital Management, L.P. CRD: 132311 | - | 0 | 4 | - | Unknown |
| Basswood Capital Management, L.L.C. CRD: 138032 | - | 0 | 1 | - | Unknown |
| Bastiat Capital, LLC CRD: 140204 | - | 0 | 0 | - | Unknown |
| Bastille Properties Inc. CRD: 11621 | - | 0 | 0 | A | INACTIVE |
| Bastion Capital Advisors LLC CRD: 343215 | - | 0 | 1 | - | Unknown |
| Bastion Fiduciary CRD: 333420 | - | 0 | 6 | - | Unknown |
| Bastion Management II LLC CRD: 309685 | - | 0 | 1 | - | Unknown |
| Bastogne Capital Management, LLC CRD: 167722 | - | 0 | 0 | - | Unknown |
| BAT VC LLC CRD: 318041 | - | 0 | 0 | - | Unknown |
| Batch Ventures, LLC CRD: 335493 | - | 0 | 1 | - | Unknown |
| Batchelder & Partners, Inc. CRD: 25063 | - | 0 | 0 | A | INACTIVE |
| Batelli, Gregory Marc CRD: 47288 | - | 0 | 0 | A | INACTIVE |
| Bateman Capital Management, Inc. CRD: 284972 | - | 0 | 1 | - | Unknown |
| Bateman Eichler & Co., LLC CRD: 103480 | - | 0 | 0 | A | INACTIVE |
| Bateman Eichler, Hill Richards, Incorporated CRD: 76 | - | 0 | 0 | A | INACTIVE |
| Bates Creek Research & Consulting LLC CRD: 130348 | - | 0 | 0 | - | Unknown |
| Bates Financial Advisors, Inc. CRD: 116515 | - | 0 | 3 | - | Unknown |
| Bates Financial Group, LLC. CRD: 172686 | - | 0 | 1 | - | Unknown |
| Bates Real Estate and Financial Advisory Services CRD: 304334 | - | 0 | 2 | - | Unknown |
| Bates Securities, Inc. CRD: 10759 | IL | 0 | 3 | A | Active |
| Bates Wealth Management, LLC CRD: 284892 | - | 0 | 2 | - | Unknown |
| Bates, Jeffrey Putnam CRD: 133748 | - | 0 | 0 | A | INACTIVE |
| Bath Leeds, LLC CRD: 293875 | - | 0 | 1 | - | Unknown |
| Batholith Wealth Management & Insurance CRD: 338434 | - | 0 | 1 | - | Unknown |
| Batley & Associates CRD: 155458 | - | 0 | 1 | - | Unknown |
| Batman Wealth Management, LLC CRD: 313567 | - | 0 | 2 | - | Unknown |
| Batra Financial LLC CRD: 306942 | - | 0 | 0 | - | Unknown |
| Battalion Asset Management, LLC CRD: 324267 | - | 0 | 1 | - | Unknown |
| Battell Holdings Management, LLC CRD: 334688 | - | 0 | 1 | - | Unknown |
| Battelle Ventures, LP CRD: 163657 | - | 0 | 0 | - | Unknown |
| Battenkill Capital, Inc. CRD: 131548 | - | 0 | 0 | A | INACTIVE |
| Battery Global Advisors, LLC CRD: 158508 | - | 0 | 1 | - | Unknown |
| Battery Management Corp. CRD: 160921 | - | 0 | 1 | - | Unknown |
| Battery Private, Inc. CRD: 284734 | - | 0 | 0 | - | Unknown |
| Battista, Antohny William CRD: 32420 | - | 1 | 0 | B | INACTIVE |
| Battle Capital Asset Management LLC CRD: 156266 | - | 0 | 1 | - | Unknown |
| Battle Green Advisors CRD: 310889 | - | 0 | 1 | - | Unknown |
| Battle Investment Group, LLC CRD: 283292 | - | 0 | 1 | - | Unknown |
| Battlecat Energy Partners LP CRD: 293515 | - | 0 | 0 | - | Unknown |
| Battlefin Asset Management, LLC CRD: 285145 | - | 0 | 0 | - | Unknown |
| Battleground Wealth Management CRD: 325051 | - | 0 | 0 | - | Unknown |
| BAU Advisors CRD: 301667 | - | 0 | 1 | - | Unknown |