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 |
|---|---|---|---|---|---|
| Wallace Capital Management, Inc. CRD: 119174 | - | 0 | 1 | - | Unknown |
| Wallace Hart Capital Management CRD: 285981 | - | 0 | 1 | - | Unknown |
| Wallace Investments CRD: 300335 | - | 0 | 1 | - | Unknown |
| Wallace Securities Corp. CRD: 31467 | - | 4 | 0 | C | INACTIVE |
| Wallace Wealth Advisory, Inc. CRD: 342291 | - | 0 | 1 | - | Unknown |
| Wallace, Thomas M CRD: 125979 | - | 0 | 0 | A | INACTIVE |
| Wallach FX Options Inc. CRD: 8605 | - | 0 | 0 | A | INACTIVE |
| Wallach Planning & Investments CRD: 128419 | - | 0 | 2 | - | Unknown |
| Wallachbeth Capital LLC CRD: 147853 | FL | 2 | 4 | B | Active |
| Walled Lake Planning & Wealth Management, LLC CRD: 299595 | - | 0 | 1 | - | Unknown |
| Wallender, Timothy Joseph CRD: 138301 | - | 0 | 1 | - | Unknown |
| Waller & WAX Advisors, Inc. CRD: 131083 | - | 0 | 0 | - | Unknown |
| Waller Associated, LLC CRD: 45817 | - | 0 | 0 | A | INACTIVE |
| Waller Capital Corporation CRD: 26027 | - | 2 | 0 | B | INACTIVE |
| Waller Capital Securities LLC CRD: 127734 | - | 0 | 0 | A | INACTIVE |
| Waller Financial Coaching CRD: 172701 | - | 0 | 1 | - | Unknown |
| Waller Helms Securities LLC CRD: 282433 | - | 0 | 0 | A | INACTIVE |
| Waller Wealth Management, LLC CRD: 307148 | - | 0 | 1 | - | Unknown |
| Walleye Capital LLC CRD: 161413 | - | 0 | 1 | - | Unknown |
| Walleye Partners LLC CRD: 333435 | - | 0 | 2 | - | Unknown |
| Walleye Trading LLC CRD: 136196 | MN | 14 | 7 | B | Active |
| Wallick Investments, LLC CRD: 162976 | - | 0 | 1 | - | Unknown |
| Wallick Wealth Management CRD: 329638 | - | 0 | 1 | - | Unknown |
| Wallingford Group, Inc. CRD: 122561 | - | 0 | 0 | A | INACTIVE |
| Wallington Asset Management CRD: 143360 | - | 0 | 3 | - | Unknown |
| Wallstreet Associates, Inc. CRD: 47314 | - | 2 | 0 | B | INACTIVE |
| Wallstreet*E Financial Services, Inc. CRD: 43896 | - | 9 | 0 | D | INACTIVE |
| WALLSTREETI.COM CRD: 123567 | - | 0 | 1 | - | Unknown |
| Walnut Capital Partners, LLC CRD: 336383 | - | 0 | 1 | - | Unknown |
| Walnut Creek Capital Advisors, LLC CRD: 131856 | GA | 0 | 2 | A | Active |
| Walnut Creek Wealth Management CRD: 288440 | - | 0 | 0 | - | Unknown |
| Walnut Crest Capital Management, LLC CRD: 343373 | - | 0 | 1 | - | Unknown |
| Walnut Grove Capital Partners, LP CRD: 300721 | - | 0 | 1 | - | Unknown |
| Walnut Hill Advisors, LLC CRD: 152729 | - | 0 | 0 | - | Unknown |
| Walnut Hill Wealth Management CRD: 324453 | - | 0 | 1 | - | Unknown |
| Walnut Level Capital LLC CRD: 307942 | - | 0 | 1 | - | Unknown |
| Walnut OAK Capital, LLC CRD: 172774 | - | 0 | 0 | - | Unknown |
| Walnut Private Equity Partners, LLC CRD: 168840 | - | 0 | 1 | - | Unknown |
| Walnut Street Securities, Inc. CRD: 15840 | - | 12 | 0 | D | INACTIVE |
| Walrus Partners, LLC CRD: 115071 | - | 0 | 1 | - | Unknown |
| Walser Wealth Management Company, a Limited Liabil… CRD: 206518 | - | 0 | 1 | - | Unknown |
| Walsh & Associates, LLC CRD: 144441 | - | 0 | 6 | - | Unknown |
| Walsh Advisors CRD: 122628 | - | 0 | 2 | - | Unknown |
| Walsh Associated, LLC CRD: 45816 | - | 0 | 0 | A | INACTIVE |
| Walsh Capital LLC CRD: 331399 | - | 0 | 1 | - | Unknown |
| Walsh Financial Consulting CRD: 168305 | - | 0 | 1 | - | Unknown |
| Walsh Financial LLC CRD: 337759 | - | 0 | 1 | - | Unknown |
| Walsh Financial Solutions, LLC CRD: 133589 | - | 0 | 1 | - | Unknown |
| Walsh Manning Securities, LLC CRD: 30826 | - | 0 | 0 | A | INACTIVE |
| Walsh, Greenwood & Co. CRD: 8068 | - | 0 | 0 | A | INACTIVE |