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 |
|---|---|---|---|---|---|
| Watchtower Advisors, LP CRD: 299887 | - | 0 | 1 | - | Unknown |
| Watchtower Wealth Management, Inc. CRD: 297147 | - | 0 | 1 | - | Unknown |
| Watchtower Wealth, LLC CRD: 327024 | - | 0 | 1 | - | Unknown |
| Water Asset Management, LLC CRD: 151508 | - | 0 | 2 | - | Unknown |
| Water DOG Asset Management LLC CRD: 281720 | - | 0 | 1 | - | Unknown |
| Water Island Capital, LLC CRD: 113358 | - | 0 | 1 | - | Unknown |
| Water OAK Advisors, LLC CRD: 140486 | - | 0 | 0 | - | Unknown |
| Water Street Advisers, Inc. CRD: 119795 | - | 0 | 0 | - | Unknown |
| Water Street Advisors LLC CRD: 312585 | - | 0 | 0 | - | Unknown |
| Water Street Capital, Inc. CRD: 158133 | - | 0 | 1 | - | Unknown |
| Water Street Financial LLC CRD: 314822 | - | 0 | 0 | - | Unknown |
| Water Street Healthcare Partners, LLC CRD: 156694 | - | 0 | 1 | - | Unknown |
| Water Street Wealth Management, LLC CRD: 295559 | - | 0 | 1 | - | Unknown |
| Water Tower Securities, LLC CRD: 129969 | - | 0 | 0 | A | INACTIVE |
| Water Tower Wealth Management, Inc. CRD: 155967 | - | 0 | 0 | - | Unknown |
| Water Valley Investment Advisors, Inc. CRD: 116936 | - | 0 | 5 | - | Unknown |
| Waterbridge Wealth Management, LLC CRD: 310761 | - | 0 | 0 | - | Unknown |
| Waterbury and Associates CRD: 119866 | - | 0 | 0 | - | Unknown |
| Waterbury Capital Corporation CRD: 18523 | - | 0 | 0 | A | INACTIVE |
| Watercolor Financial CRD: 327254 | - | 0 | 1 | - | Unknown |
| Waterequity LLC CRD: 281955 | - | 0 | 1 | - | Unknown |
| Waterfall Wealth Management LLC CRD: 291788 | - | 0 | 0 | - | Unknown |
| Waterford Advisors, LLC CRD: 119442 | - | 0 | 1 | - | Unknown |
| Waterford Capital, Inc. CRD: 21687 | TX | 3 | 2 | B | Active |
| Waterford Financial, Inc. CRD: 33828 | - | 2 | 0 | B | INACTIVE |
| Waterford Securities, Inc. CRD: 15616 | - | 0 | 0 | A | INACTIVE |
| Waterfront Advisors CRD: 324398 | - | 0 | 1 | - | Unknown |
| Waterfront Financial Management LLC CRD: 289408 | - | 0 | 0 | - | Unknown |
| Waterfront International Ltd. CRD: 289101 | - | 0 | 0 | - | Unknown |
| Waterfront Wealth Inc. CRD: 173220 | - | 0 | 2 | - | Unknown |
| Waterfront Wealth Management CRD: 279032 | - | 0 | 0 | - | Unknown |
| Waterhill Capital, LLC CRD: 117090 | - | 0 | 1 | - | Unknown |
| Waterhouse LM & Co Inc CRD: 111053 | - | 0 | 0 | - | Unknown |
| Waterland Private Equity Investments CRD: 161877 | - | 0 | 0 | - | Unknown |
| Waterline Ventures, LLC CRD: 173281 | - | 0 | 1 | - | Unknown |
| Waterloo Advisors, LLC CRD: 169183 | - | 0 | 0 | - | Unknown |
| Waterloo Capital CRD: 133705 | - | 0 | 29 | - | Unknown |
| Watermark Advisors, LLC CRD: 127819 | - | 0 | 0 | A | INACTIVE |
| Watermark Funds Management CRD: 288877 | - | 0 | 0 | - | Unknown |
| Watermark Group, Inc. CRD: 108272 | - | 0 | 1 | - | Unknown |
| Watermark Securities, Inc. CRD: 28683 | - | 1 | 0 | B | INACTIVE |
| Watermark Venture Capital, Inc. CRD: 289455 | - | 0 | 0 | - | Unknown |
| Watermark Wealth Management, LLC CRD: 146530 | - | 0 | 0 | - | Unknown |
| Watermill Institutional Trading LLC CRD: 150892 | NJ | 0 | 4 | A | Active |
| Waterous Energy Fund CRD: 298574 | - | 0 | 0 | - | Unknown |
| Waterous Energy Fund Management (US), LLC CRD: 290952 | - | 0 | 3 | - | Unknown |
| Waterous Securities (U.S.A.) Inc. CRD: 29644 | - | 0 | 0 | A | INACTIVE |
| Waterpoint Lane Manageco, Inc. CRD: 327736 | - | 0 | 0 | - | Unknown |
| Waterrock Wealth Management CRD: 296462 | - | 0 | 3 | - | Unknown |
| Waters, James J. CRD: 322885 | - | 0 | 1 | - | Unknown |