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 |
|---|---|---|---|---|---|
| Walsky Investment Management Inc CRD: 106991 | - | 0 | 3 | - | Unknown |
| Walson & Associates Inc CRD: 106315 | - | 0 | 0 | - | Unknown |
| Walstad Investment Counsel, Inc. CRD: 107112 | - | 0 | 1 | - | Unknown |
| Walstead Associates Investment Advisors, LLC CRD: 155369 | - | 0 | 0 | - | Unknown |
| Walston Securities, Inc. CRD: 25515 | - | 0 | 0 | A | INACTIVE |
| Walsvick Wealth Management CRD: 171719 | - | 0 | 2 | - | Unknown |
| Walt Becker & Associates, Inc. CRD: 7014 | - | 2 | 0 | B | INACTIVE |
| Walt Securities, Inc. CRD: 15171 | - | 0 | 0 | A | INACTIVE |
| Walt ST Wsim Ltd CRD: 109339 | - | 0 | 2 | - | Unknown |
| Walter & Shuffain Financial Services, LLC CRD: 147347 | - | 0 | 1 | - | Unknown |
| Walter C. Flower & Co., Inc CRD: 110775 | - | 0 | 1 | - | Unknown |
| Walter Capital Corporation CRD: 13455 | - | 0 | 0 | A | INACTIVE |
| Walter H. Wainright & Associates CRD: 7740 | - | 0 | 0 | A | INACTIVE |
| Walter J. Dowd, Inc. CRD: 32701 | - | 0 | 0 | A | INACTIVE |
| Walter J. Reyna, Inc. CRD: 141173 | - | 0 | 1 | - | Unknown |
| Walter Keenan Wealth Management CRD: 104838 | - | 0 | 3 | - | Unknown |
| Walter N. Frank & Co., LLC CRD: 32977 | - | 1 | 0 | B | INACTIVE |
| Walter N. Frank & Company CRD: 5996 | - | 0 | 0 | A | INACTIVE |
| Walter Post CRD: 20246 | - | 0 | 0 | A | INACTIVE |
| Walter Scott & Partners Limited CRD: 112161 | - | 0 | 0 | - | Unknown |
| Walthall & Walthall Securities Corporation CRD: 14567 | - | 0 | 0 | A | INACTIVE |
| Walthausen & Co., LLC CRD: 144996 | - | 0 | 0 | - | Unknown |
| Waltium Investment Advisors CRD: 324406 | - | 0 | 2 | - | Unknown |
| Walton Financial CRD: 331634 | - | 0 | 1 | - | Unknown |
| Walton Johnson & Company CRD: 26448 | - | 8 | 0 | D | INACTIVE |
| Walton Rahal Cpas PLLC CRD: 142545 | - | 0 | 1 | - | Unknown |
| Walton RE Securities, LLC CRD: 172024 | AZ | 1 | 2 | B | Active |
| Walton Securities, Inc. CRD: 143763 | - | 0 | 0 | A | INACTIVE |
| Walton Street Capital, L.L.C. CRD: 147210 | - | 0 | 1 | - | Unknown |
| Waltz Investments, Inc. CRD: 3704 | - | 0 | 0 | A | INACTIVE |
| Walvekar and Associates, Inc. CRD: 15872 | - | 0 | 0 | A | INACTIVE |
| Walwyn Securities Inc. CRD: 6262 | - | 0 | 0 | A | INACTIVE |
| WAM Brokerage Services, L.L.C. CRD: 39061 | - | 0 | 0 | A | INACTIVE |
| Wambolt & Associates, LLC CRD: 153454 | - | 0 | 0 | - | Unknown |
| Wamu Capital Corp. CRD: 119069 | - | 0 | 0 | A | INACTIVE |
| Wamu Investments, Inc. CRD: 599 | - | 31 | 0 | F | INACTIVE |
| Wand Ventures LLC CRD: 306426 | - | 0 | 0 | - | Unknown |
| Wanda Kilman Pittman CRD: 147698 | - | 0 | 2 | - | Unknown |
| Wander Financial Services, LLC CRD: 151534 | - | 0 | 1 | - | Unknown |
| Wanderlust Wealth Management, LLC CRD: 281974 | - | 0 | 0 | - | Unknown |
| Wanderwealth Inc. CRD: 141509 | - | 0 | 1 | - | Unknown |
| Wang Financial, LLC CRD: 167570 | - | 0 | 1 | - | Unknown |
| Wang Trading LLC CRD: 120334 | - | 0 | 0 | A | INACTIVE |
| Wangchuk Capital, LLC CRD: 172896 | - | 0 | 2 | - | Unknown |
| Wanger Financial Planning CRD: 129037 | - | 0 | 0 | - | Unknown |
| Wanics Capital Advisors LLC CRD: 338770 | - | 0 | 1 | - | Unknown |
| Wank & Liptzin Advisory Services LLC CRD: 126215 | - | 0 | 3 | - | Unknown |
| WAO Advisory, LLC CRD: 320688 | - | 0 | 0 | - | Unknown |
| Wapg, LLC CRD: 113824 | - | 0 | 2 | - | Unknown |
| WAR Streets Capital, LLC CRD: 305127 | - | 0 | 1 | - | Unknown |