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 |
|---|---|---|---|---|---|
| Warren Wealth Management & TAX Planning Inc. CRD: 305992 | - | 0 | 1 | - | Unknown |
| Warriner Securities, Inc. CRD: 19938 | - | 0 | 0 | A | INACTIVE |
| Warshaw Asset Management, LLC CRD: 328749 | - | 0 | 0 | - | Unknown |
| Warshaw Asset Management, LLC CRD: 270018 | - | 0 | 0 | - | Unknown |
| Warshaw Asset Management, LLC CRD: 337641 | - | 0 | 1 | - | Unknown |
| Warsitz Associates Inc. CRD: 110535 | - | 0 | 0 | - | Unknown |
| Warther Private Wealth CRD: 125145 | - | 0 | 2 | - | Unknown |
| Warwick Capital CLO Management LLC CRD: 323630 | - | 0 | 0 | - | Unknown |
| Warwick Capital Partners CRD: 161384 | - | 0 | 0 | - | Unknown |
| Warwick Capital Partners (US) LP CRD: 320777 | - | 0 | 1 | - | Unknown |
| Warwick Group II, Inc. CRD: 161549 | - | 0 | 0 | - | Unknown |
| Warwick Investment Group, LLC CRD: 226670 | - | 0 | 1 | - | Unknown |
| Warwick Partners CRD: 105951 | - | 0 | 2 | - | Unknown |
| Warwick Securities, Inc. CRD: 24356 | - | 0 | 0 | A | INACTIVE |
| Warwick Shore Advisors, LLC CRD: 293782 | - | 0 | 1 | - | Unknown |
| Wasatch Advisors LP CRD: 106081 | - | 0 | 42 | - | Unknown |
| Wasatch Equity Partners CRD: 326762 | - | 0 | 1 | - | Unknown |
| Wasatch Management Partners, L.L.C. CRD: 113322 | - | 0 | 0 | - | Unknown |
| Wasatch Stock Trading, Inc. CRD: 16735 | - | 0 | 0 | A | INACTIVE |
| Wasden Financial Management CRD: 144406 | - | 0 | 0 | - | Unknown |
| Washburn Capital Management Inc. CRD: 125708 | - | 0 | 1 | - | Unknown |
| Washburn Financial Group, LLC CRD: 116852 | - | 0 | 0 | - | Unknown |
| Washington Analysis LLC CRD: 104355 | - | 0 | 0 | A | INACTIVE |
| Washington Avenue Advisors CRD: 307002 | - | 0 | 1 | - | Unknown |
| Washington Brokerage Services, Inc. CRD: 17822 | - | 0 | 0 | A | INACTIVE |
| Washington Circle Securities Corporation CRD: 34041 | - | 0 | 0 | A | INACTIVE |
| Washington Crossing Financial Services Corp. CRD: 24398 | - | 0 | 0 | A | INACTIVE |
| Washington Discount Brokerage Corp. CRD: 34217 | - | 0 | 0 | A | INACTIVE |
| Washington Financial Group, Inc. CRD: 132369 | - | 0 | 3 | - | Unknown |
| Washington Funds Distributors, Inc. CRD: 16777 | - | 0 | 0 | A | INACTIVE |
| Washington Harbour Partners LP CRD: 309915 | - | 0 | 1 | - | Unknown |
| Washington National Equity Company CRD: 4242 | - | 0 | 0 | A | INACTIVE |
| Washington Trust Advisors CRD: 110407 | - | 0 | 13 | - | Unknown |
| Washington Wealth Advisors, LLC CRD: 155978 | - | 0 | 0 | - | Unknown |
| Washita Capital, LLC CRD: 311798 | - | 0 | 1 | - | Unknown |
| Washpark Capital, LLC CRD: 281306 | - | 0 | 1 | - | Unknown |
| Wasi CRD: 131689 | - | 0 | 2 | - | Unknown |
| Wasmer Schroeder CRD: 105323 | - | 0 | 0 | - | Unknown |
| Wasserman & Associates, Inc. CRD: 45085 | - | 2 | 0 | B | INACTIVE |
| Wasserman Wealth Management, LLC CRD: 124556 | - | 0 | 0 | - | Unknown |
| Wasserstein & Co., L.P. CRD: 160339 | - | 0 | 0 | - | Unknown |
| Wasserstein Management, LP CRD: 286158 | - | 0 | 1 | - | Unknown |
| Wata Capital LLC CRD: 298666 | - | 0 | 1 | - | Unknown |
| Watch Guard Capital LLC CRD: 284719 | - | 0 | 2 | - | Unknown |
| Watch Hill Advisors LLC CRD: 127620 | - | 0 | 0 | A | INACTIVE |
| Watch Hill Advisors, LLC CRD: 159994 | - | 0 | 1 | - | Unknown |
| Watchdog Planning LLC CRD: 289978 | - | 0 | 0 | - | Unknown |
| Watchfire Ventures, LLC CRD: 309929 | - | 0 | 1 | - | Unknown |
| Watchman Steward, Inc. CRD: 149989 | - | 0 | 0 | - | Unknown |
| Watchstone Wealth Management LLC CRD: 172835 | - | 0 | 1 | - | Unknown |