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 |
|---|---|---|---|---|---|
| VX Trading, Inc. CRD: 114565 | - | 0 | 0 | A | INACTIVE |
| VXI Capital Management, LLC CRD: 328613 | - | 0 | 1 | - | Unknown |
| VY Capital CRD: 171768 | - | 0 | 0 | - | Unknown |
| VY Capital Holding Company CRD: 171769 | - | 0 | 0 | - | Unknown |
| VY Services Management Ltd CRD: 326356 | - | 0 | 0 | - | Unknown |
| VYGR Digital Securities, LLC CRD: 148019 | - | 0 | 0 | A | INACTIVE |
| VZD Capital Management LLC CRD: 166514 | - | 0 | 1 | - | Unknown |
| W & S Management Services, Inc. CRD: 127852 | - | 0 | 2 | - | Unknown |
| W a Proskow, LLC CRD: 148339 | - | 0 | 0 | - | Unknown |
| W Advisors LLC CRD: 168452 | - | 0 | 2 | - | Unknown |
| W Bradley Wealth Management LLC CRD: 333063 | - | 0 | 1 | - | Unknown |
| W Campion Capital LLC CRD: 171277 | FL | 0 | 2 | A | Active |
| W Capital Partners CRD: 159408 | - | 0 | 1 | - | Unknown |
| W Fund Management, LLC CRD: 309237 | - | 0 | 0 | - | Unknown |
| W G Securities, LLC CRD: 140869 | CT | 0 | 3 | A | Active |
| W Health Ventures GP LLC CRD: 341187 | - | 0 | 1 | - | Unknown |
| W N C Brokers, Inc. CRD: 11119 | - | 0 | 0 | A | INACTIVE |
| W R Rice Financial Services, Inc. CRD: 36700 | - | 3 | 0 | C | INACTIVE |
| W Thomas Jones LLC CRD: 47368 | - | 0 | 0 | A | INACTIVE |
| W Trading, LLC CRD: 149128 | - | 0 | 0 | A | INACTIVE |
| W Wealth Advisors CRD: 154423 | - | 0 | 2 | - | Unknown |
| W&C Advisory Group, LLC CRD: 128932 | - | 0 | 0 | - | Unknown |
| W&D Financial and Insurance Services, LLC CRD: 113515 | - | 0 | 0 | A | INACTIVE |
| W&G Ventures Management, LLC CRD: 322678 | - | 0 | 0 | - | Unknown |
| W&S Advisory Services, LLC CRD: 334683 | - | 0 | 9 | - | Unknown |
| W&S Brokerage Services, Inc. CRD: 8099 | OH | 0 | 92 | A | Active |
| W-G Capital Advisors, LLC CRD: 281442 | - | 0 | 0 | - | Unknown |
| W-J Securities, Inc. CRD: 17568 | - | 0 | 0 | A | INACTIVE |
| W. & D. Equities Corporation CRD: 8098 | - | 0 | 0 | A | INACTIVE |
| W. a. Stanton Company CRD: 3483 | - | 0 | 0 | A | INACTIVE |
| W. C. Buckingham, CPA CRD: 138186 | - | 0 | 1 | - | Unknown |
| W. D. Fard Securities, Inc. CRD: 15166 | - | 0 | 0 | A | INACTIVE |
| W. D. Moorhead & Co. CRD: 15630 | - | 0 | 0 | A | INACTIVE |
| W. E. Kaufman & Co. CRD: 2403 | - | 0 | 0 | A | INACTIVE |
| W. F. Robins, III, LLC CRD: 167787 | - | 0 | 1 | - | Unknown |
| W. G. Pitcher & Co. CRD: 16767 | - | 0 | 0 | A | INACTIVE |
| W. Gregg Baldwin, Broker/Dealer CRD: 16398 | - | 0 | 0 | A | INACTIVE |
| W. H. Colson Securities, Inc. CRD: 117789 | - | 0 | 0 | A | INACTIVE |
| W. H. Mell Associates, Inc. CRD: 23635 | - | 6 | 0 | D | INACTIVE |
| W. H. Reaves & Co., Inc. CRD: 3140 | - | 2 | 1 | B | INACTIVE |
| W. Joseph Harper CRD: 119879 | - | 0 | 0 | - | Unknown |
| W. N. Estes & Company, Inc. CRD: 7037 | - | 0 | 0 | A | INACTIVE |
| W. N. Whelen & Co., Inc. CRD: 7327 | - | 0 | 0 | A | INACTIVE |
| W. P. Stewart & Co., Inc. CRD: 7190 | - | 0 | 0 | A | INACTIVE |
| W. P. Stewart Securities LLC CRD: 40964 | - | 1 | 0 | B | INACTIVE |
| W. Peng LLC CRD: 118815 | - | 0 | 0 | A | INACTIVE |
| W. R. Taylor & Company, LLC CRD: 107179 | - | 0 | 0 | A | INACTIVE |
| W. Swartz & Co., LLC CRD: 256786 | - | 0 | 1 | - | Unknown |
| W. T. Cabe & Company, Inc. CRD: 6197 | - | 8 | 0 | D | INACTIVE |
| W. V. Legg Financial Management LLC CRD: 165372 | - | 0 | 1 | - | Unknown |