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 |
|---|---|---|---|---|---|
| Wachovia Brokerage Service CRD: 17503 | - | 9 | 0 | D | INACTIVE |
| Wachovia Capital Markets, Inc. CRD: 44964 | - | 0 | 0 | A | INACTIVE |
| Wachovia Securities, Inc. CRD: 431 | - | 52 | 0 | F | INACTIVE |
| Wachtel & Co., Inc. CRD: 3685 | DC | 2 | 2 | B | Active |
| Wachtel Capital Advisors, LLC CRD: 149985 | - | 0 | 0 | - | Unknown |
| Wachtel Capital Advisors, LLC CRD: 311280 | - | 0 | 1 | - | Unknown |
| Wachusett Financial Management CRD: 129203 | - | 0 | 0 | - | Unknown |
| Wacker & Associates, Inc. CRD: 159879 | - | 0 | 2 | - | Unknown |
| Wacker Wealth Partners, LLC CRD: 145931 | - | 0 | 0 | - | Unknown |
| Wacks & Co., Inc. CRD: 15525 | - | 0 | 0 | A | INACTIVE |
| Waco Ventures Management Opco, LP CRD: 307042 | - | 0 | 1 | - | Unknown |
| Wacona Capital, LLC CRD: 331836 | - | 0 | 1 | - | Unknown |
| Wada Capital Management, LLC CRD: 143634 | - | 0 | 2 | - | Unknown |
| Waddell & Associates, LLC CRD: 283723 | - | 0 | 5 | - | Unknown |
| Waddell & Reed CRD: 866 | - | 41 | 0 | F | INACTIVE |
| Waddell & Reed Investments CRD: 106343 | - | 0 | 0 | - | Unknown |
| Waddell Jenmar Securities, Inc. CRD: 14294 | - | 0 | 0 | A | INACTIVE |
| Wade Financial Advisory, Inc. CRD: 108627 | - | 0 | 0 | - | Unknown |
| Wade Financial Group Inc CRD: 109667 | - | 0 | 0 | - | Unknown |
| Wade Management LLC CRD: 157268 | - | 0 | 1 | - | Unknown |
| Wade Read Capital, LLC CRD: 319722 | - | 0 | 0 | - | Unknown |
| Wadke, Inc. CRD: 14045 | - | 0 | 0 | A | INACTIVE |
| Wadsworth & Daulaire Financial Planners CRD: 116464 | - | 0 | 1 | - | Unknown |
| Wadsworth Capital CRD: 172328 | - | 0 | 0 | - | Unknown |
| Wadsworth Investment Co., Inc. CRD: 5844 | - | 3 | 0 | C | INACTIVE |
| Waechter Lufkin, LLC. CRD: 45213 | - | 0 | 0 | A | INACTIVE |
| Wafd Wealth, Inc CRD: 337346 | - | 0 | 1 | - | Unknown |
| Wafra Inc. CRD: 108673 | - | 0 | 1 | - | Unknown |
| Wafra Securities Corporation CRD: 149666 | - | 0 | 0 | A | INACTIVE |
| Wafra Securities, Inc. CRD: 16418 | - | 0 | 0 | A | INACTIVE |
| Wagener-LEE, LLC CRD: 136002 | - | 0 | 3 | - | Unknown |
| Wager Wealth Management and Financial Planning LLC CRD: 285107 | - | 0 | 1 | - | Unknown |
| Wagmi Advisory LLC CRD: 329784 | - | 0 | 1 | - | Unknown |
| Wagn Advisory Services, LLC CRD: 311915 | - | 0 | 0 | - | Unknown |
| Wagner & Truax Securities, Inc. CRD: 10432 | - | 0 | 0 | A | INACTIVE |
| Wagner Carbon Management LLC CRD: 321971 | - | 0 | 1 | - | Unknown |
| Wagner Financial Advisors, LLC CRD: 147493 | - | 0 | 0 | - | Unknown |
| Wagner Financial Group, Inc. CRD: 15945 | - | 0 | 0 | A | INACTIVE |
| Wagner Loftin Investment Services LLC CRD: 109770 | - | 0 | 6 | - | Unknown |
| Wagner Personal Financial CRD: 159648 | - | 0 | 0 | - | Unknown |
| Wagner Planning CRD: 318448 | - | 0 | 1 | - | Unknown |
| Wagner Road Capital Management, LLC CRD: 293511 | - | 0 | 1 | - | Unknown |
| Wagner Services LLC CRD: 321871 | - | 0 | 0 | - | Unknown |
| Wagner Thomas Wesley CRD: 40704 | - | 0 | 0 | A | INACTIVE |
| Wagner Wealth Management CRD: 340472 | - | 0 | 1 | - | Unknown |
| Wagner Wealth Management LLC CRD: 154007 | - | 0 | 1 | - | Unknown |
| Wagner Wealth Management, Corp. CRD: 324196 | - | 0 | 1 | - | Unknown |
| Wagner Wealth Management, LLC CRD: 109937 | - | 0 | 0 | - | Unknown |
| Wagner, Doxey and Company CRD: 23193 | - | 0 | 0 | A | INACTIVE |
| Wagner, Jonathan CRD: 33845 | - | 0 | 0 | A | INACTIVE |