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 |
|---|---|---|---|---|---|
| Baucom Wealth Management LLC CRD: 332763 | - | 0 | 1 | - | Unknown |
| Bauer Capital Management, LLC. CRD: 172008 | - | 0 | 0 | - | Unknown |
| Bauer Financial Services, Inc. CRD: 120819 | - | 0 | 2 | - | Unknown |
| Bauer Wealth Management Inc. CRD: 152977 | - | 0 | 2 | - | Unknown |
| Bauerle Financial, Inc CRD: 106775 | - | 0 | 0 | - | Unknown |
| Baugh & Associates, LLC CRD: 136342 | - | 0 | 1 | - | Unknown |
| Baugh Financial CRD: 323833 | - | 0 | 1 | - | Unknown |
| Baughman Financial Group CRD: 148649 | - | 0 | 1 | - | Unknown |
| Baukunst Management Company, LLC CRD: 323886 | - | 0 | 1 | - | Unknown |
| Baum Capital Partners Management, LLC CRD: 288225 | - | 0 | 1 | - | Unknown |
| Baum Partnerships CRD: 314042 | - | 0 | 1 | - | Unknown |
| Baum, Roger Lytton CRD: 33413 | - | 0 | 0 | A | INACTIVE |
| Bauman Wealth Advisors CRD: 153061 | - | 0 | 1 | - | Unknown |
| Baumont Capital LLC CRD: 342673 | - | 0 | 1 | - | Unknown |
| Baupost Group International LLP CRD: 163642 | - | 0 | 0 | - | Unknown |
| Bauserman Financial Services, Inc CRD: 115890 | - | 0 | 0 | - | Unknown |
| Bautis Financial, LLC CRD: 148582 | - | 0 | 1 | - | Unknown |
| Bautista Planning and Analytics, LLC CRD: 301150 | - | 0 | 1 | - | Unknown |
| Bavarian Wealth Management, Inc. CRD: 135035 | - | 0 | 2 | - | Unknown |
| Baviello Investment Management, LLC CRD: 291874 | - | 0 | 1 | - | Unknown |
| Baxter & Company CRD: 16579 | - | 0 | 0 | A | INACTIVE |
| Baxter Banks & Smith, Ltd. CRD: 40771 | - | 32 | 0 | F | INACTIVE |
| Baxter Brown & Company, Incorporated CRD: 7542 | - | 0 | 0 | A | INACTIVE |
| Baxter Capital Management Inc CRD: 105123 | - | 0 | 2 | - | Unknown |
| Baxter Financial Corporation CRD: 24125 | - | 0 | 0 | A | INACTIVE |
| Baxter Investment Management CRD: 106548 | - | 0 | 4 | - | Unknown |
| Baxter Trading LLC CRD: 133965 | - | 0 | 0 | A | INACTIVE |
| BAY Pointe Financial CRD: 340986 | - | 0 | 1 | - | Unknown |
| BAY Area Wealth Advisors CRD: 339420 | - | 0 | 1 | - | Unknown |
| BAY Bridge Capital Management, LLC CRD: 169858 | - | 0 | 0 | - | Unknown |
| BAY Capital CRD: 113776 | - | 0 | 1 | - | Unknown |
| BAY Capital Advisors, LLC CRD: 140796 | - | 0 | 3 | - | Unknown |
| BAY Capital Management CRD: 130183 | - | 0 | 0 | - | Unknown |
| BAY Capital Markets, Inc. CRD: 47898 | - | 0 | 0 | A | INACTIVE |
| BAY Capital Mezzanine Management, LLC CRD: 258788 | - | 0 | 1 | - | Unknown |
| BAY Capital Partners Ltd CRD: 167965 | - | 0 | 0 | - | Unknown |
| BAY City Capital BD LLC CRD: 46364 | - | 0 | 0 | A | INACTIVE |
| BAY City Capital GF Xinde Investment Management Co CRD: 286040 | - | 0 | 1 | - | Unknown |
| BAY City Capital LLC CRD: 160525 | - | 0 | 1 | - | Unknown |
| BAY City Financial, LLC CRD: 170855 | - | 0 | 0 | - | Unknown |
| BAY Colony Advisors CRD: 152583 | - | 0 | 26 | - | Unknown |
| BAY Crest Partners, LLC CRD: 39944 | NY | 16 | 4 | C | Active |
| BAY Equities, Inc. CRD: 14476 | - | 0 | 0 | A | INACTIVE |
| BAY Financial Advisors, Inc. CRD: 130576 | - | 0 | 0 | - | Unknown |
| BAY Harbor Wealth Management, LLC CRD: 294000 | - | 0 | 1 | - | Unknown |
| BAY Haven Advisors LLC CRD: 152835 | - | 0 | 0 | - | Unknown |
| BAY Hill Capital Management USA, LLC CRD: 287897 | - | 0 | 3 | - | Unknown |
| BAY Hills Capital Management, LLC CRD: 158603 | - | 0 | 1 | - | Unknown |
| BAY Mutual Financial, LLC CRD: 130535 | - | 1 | 0 | B | INACTIVE |
| BAY Plan Fund Management LLC CRD: 335390 | - | 0 | 1 | - | Unknown |