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 |
|---|---|---|---|---|---|
| Warana Capital, LLC CRD: 288311 | - | 0 | 1 | - | Unknown |
| Waratah Capital Advisors Ltd. CRD: 173867 | - | 0 | 0 | - | Unknown |
| Warberg Asset Management LLC CRD: 164003 | - | 0 | 1 | - | Unknown |
| Warburg Pincus LLC CRD: 156945 | - | 0 | 1 | - | Unknown |
| Ward & Associates CRD: 107878 | - | 0 | 3 | - | Unknown |
| Ward & Company CRD: 115553 | - | 0 | 0 | - | Unknown |
| Ward and Associates, Inc. CRD: 21961 | - | 0 | 0 | A | INACTIVE |
| Ward Bradford & Co., L.P. CRD: 31186 | - | 0 | 0 | A | INACTIVE |
| Ward Financial CRD: 129371 | - | 0 | 0 | - | Unknown |
| Ward Securities Broker/Dealer, Inc. CRD: 13779 | - | 0 | 0 | A | INACTIVE |
| Ward Wealth Management Services, Inc. CRD: 117810 | - | 0 | 0 | - | Unknown |
| Ward's Financial Services, Ltd. CRD: 13259 | - | 1 | 0 | B | INACTIVE |
| Ward, Conary, Murphy Inc CRD: 32531 | - | 0 | 0 | A | INACTIVE |
| Warden Wealth Management, LLC CRD: 150493 | - | 0 | 1 | - | Unknown |
| Wardian Wealth Management, Inc. CRD: 292029 | - | 0 | 2 | - | Unknown |
| Wardlaw Wealth Management LLC CRD: 315408 | - | 0 | 1 | - | Unknown |
| Wardley Incorporated CRD: 15765 | - | 0 | 0 | A | INACTIVE |
| Warfield Associates, Inc. CRD: 13774 | - | 1 | 0 | B | INACTIVE |
| Warga Asset Management CRD: 114041 | - | 0 | 0 | - | Unknown |
| Warhorse Wealth Advisors, LLC CRD: 305392 | - | 0 | 0 | - | Unknown |
| Warington Capital Corp. CRD: 30737 | - | 0 | 0 | A | INACTIVE |
| Warisan Capital Management CRD: 287790 | - | 0 | 0 | - | Unknown |
| Warlander Asset Management CRD: 282199 | - | 0 | 0 | - | Unknown |
| Warlick & Baker - Treasurers' Adviser, Inc. CRD: 15114 | - | 0 | 0 | A | INACTIVE |
| Warlock Inc CRD: 340437 | - | 0 | 1 | - | Unknown |
| Warlock Ltd. CRD: 342413 | - | 0 | 1 | - | Unknown |
| Warm Springs Advisors Inc. CRD: 306501 | - | 0 | 2 | - | Unknown |
| Warne Cacheris, Inc. CRD: 15148 | - | 0 | 0 | A | INACTIVE |
| Warner Beck Incorporated CRD: 11076 | - | 0 | 0 | A | INACTIVE |
| Warner Brown Financial CRD: 304579 | - | 0 | 0 | - | Unknown |
| Warner Financial International Incorporated CRD: 39405 | - | 0 | 0 | A | INACTIVE |
| Warner Financial Services, L.L.C. CRD: 121147 | - | 0 | 0 | - | Unknown |
| Warner Financial, Inc CRD: 135303 | - | 0 | 4 | - | Unknown |
| Warner Investments, LLC CRD: 288716 | - | 0 | 1 | - | Unknown |
| Warner Park Financial Company CRD: 15009 | - | 0 | 0 | A | INACTIVE |
| Warner Real Estate Equity Investors CRD: 25610 | - | 0 | 0 | A | INACTIVE |
| Warner Wealth CRD: 334877 | - | 0 | 3 | - | Unknown |
| Warnke/Nichols Ltd. CRD: 112181 | - | 0 | 3 | - | Unknown |
| Warren & Brown Associates, Inc. CRD: 13410 | - | 0 | 0 | A | INACTIVE |
| Warren Averett RIA, LLC CRD: 317452 | - | 0 | 1 | - | Unknown |
| Warren Capital Group CRD: 137449 | - | 0 | 2 | - | Unknown |
| Warren D. Nadel & Company CRD: 20997 | - | 2 | 0 | B | INACTIVE |
| Warren Equity Partners Manager, L.P. CRD: 295903 | - | 0 | 1 | - | Unknown |
| Warren Financial Service CRD: 119066 | - | 0 | 0 | - | Unknown |
| Warren Financial, LLC CRD: 334439 | - | 0 | 1 | - | Unknown |
| Warren G. Towne CRD: 6166 | - | 0 | 0 | A | INACTIVE |
| Warren Point Capital, LLC CRD: 311680 | - | 0 | 1 | - | Unknown |
| Warren Securities, Inc. CRD: 13243 | - | 0 | 0 | A | INACTIVE |
| Warren Street Wealth Advisors, LLC CRD: 173447 | - | 0 | 1 | - | Unknown |
| Warren Ward Associates, Financial Planning CRD: 121717 | - | 0 | 0 | - | Unknown |