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 |
|---|---|---|---|---|---|
| Wagner, Stott & Co. CRD: 3690 | - | 0 | 0 | A | INACTIVE |
| Waha Investment PJSC CRD: 286370 | - | 0 | 0 | - | Unknown |
| Waha Investments Ltd CRD: 341430 | - | 0 | 0 | - | Unknown |
| Wahdy Capital CRD: 175272 | - | 0 | 2 | - | Unknown |
| Wahed CRD: 242793 | - | 0 | 2 | - | Unknown |
| Wahl Financial CRD: 141386 | - | 0 | 0 | - | Unknown |
| Wahlberg Financial Services CRD: 152263 | - | 0 | 0 | - | Unknown |
| Wahlquist, Brad CRD: 332586 | - | 0 | 0 | - | Unknown |
| Wainscott Advisors CRD: 159737 | - | 0 | 0 | - | Unknown |
| Wainwright Securities, Ltd. CRD: 22529 | - | 0 | 0 | A | INACTIVE |
| Wainwright Wealth Management, LLC CRD: 172383 | - | 0 | 1 | - | Unknown |
| Wainwright, Austin, Stone & Co. CRD: 10634 | - | 0 | 0 | A | INACTIVE |
| Waits Investments, LLC CRD: 165785 | - | 0 | 2 | - | Unknown |
| Wake Robin Financial Advisors CRD: 125295 | - | 0 | 0 | - | Unknown |
| Wake USA LLC CRD: 168401 | - | 0 | 0 | A | INACTIVE |
| Wake Wealth Management Co. CRD: 159170 | - | 0 | 1 | - | Unknown |
| Wakedale Inc CRD: 11745 | - | 0 | 0 | A | INACTIVE |
| Wakefield Advisors, LLC CRD: 163814 | - | 0 | 0 | - | Unknown |
| Wakefield Equity Group, Inc. CRD: 17952 | - | 0 | 0 | A | INACTIVE |
| Wakefield Securities Corporation CRD: 14453 | - | 0 | 0 | A | INACTIVE |
| Wakefield Wealth Management, LLLP CRD: 173997 | - | 0 | 1 | - | Unknown |
| Wakeful CRD: 144640 | - | 0 | 1 | - | Unknown |
| Wakely Investment Management CRD: 167206 | - | 0 | 4 | - | Unknown |
| Wakil Wealth Advisory LLC CRD: 330852 | - | 0 | 1 | - | Unknown |
| Wakker's Financial Advisory Service, Inc. CRD: 115842 | - | 0 | 0 | - | Unknown |
| Wakley & Roberton Inc CRD: 105318 | - | 0 | 0 | - | Unknown |
| Wako Securities(America), Inc. CRD: 12999 | - | 0 | 0 | A | INACTIVE |
| Walch Financial Services, Inc. CRD: 36371 | - | 1 | 0 | B | INACTIVE |
| Walden Bridge Management Company LLC CRD: 313090 | - | 0 | 0 | - | Unknown |
| Walden Capital Advisors, LLC CRD: 142292 | - | 0 | 0 | - | Unknown |
| Walden Financial CRD: 323234 | - | 0 | 1 | - | Unknown |
| Walden International CRD: 163393 | - | 0 | 1 | - | Unknown |
| Walden Investors Group Inc. CRD: 22468 | - | 0 | 0 | A | INACTIVE |
| Walden Venture Capital CRD: 162390 | - | 0 | 0 | - | Unknown |
| Walden Wealth Partners LLC CRD: 226583 | - | 0 | 0 | - | Unknown |
| Waldman Financial Advisers CRD: 146763 | - | 0 | 0 | - | Unknown |
| Waldo Investment Advisors, LLC CRD: 171722 | - | 0 | 1 | - | Unknown |
| WALDO.AI, Inc. CRD: 336723 | - | 0 | 2 | - | Unknown |
| Waldorf Family Investments CRD: 168029 | - | 0 | 0 | - | Unknown |
| Waldron & Co., Inc. CRD: 868 | - | 0 | 0 | A | INACTIVE |
| Waldron Private Wealth CRD: 131063 | - | 0 | 13 | - | Unknown |
| Walen Financial Group, LLC CRD: 140721 | - | 0 | 1 | - | Unknown |
| Wales Investments Inc. CRD: 172894 | - | 0 | 0 | - | Unknown |
| Walford & Company, Inc. CRD: 30720 | - | 0 | 0 | A | INACTIVE |
| Walford, Demaret & Co., Inc. CRD: 7985 | - | 0 | 0 | A | INACTIVE |
| Walk YOU to Wealth CRD: 334943 | - | 0 | 2 | - | Unknown |
| Walk-on Capital, LLC CRD: 331407 | - | 0 | 1 | - | Unknown |
| Walkabout Ventures LLC CRD: 304706 | - | 0 | 1 | - | Unknown |
| Walker CRD: 317387 | - | 0 | 0 | - | Unknown |
| Walker & Associates CRD: 125283 | - | 0 | 2 | - | Unknown |