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 |
|---|---|---|---|---|---|
| Waters, Parkerson & Co., Inc. CRD: 3711 | - | 3 | 2 | B | INACTIVE |
| Watershed Asset Management, L.L.C. CRD: 140092 | - | 0 | 0 | - | Unknown |
| Watershed Collective LLC CRD: 327754 | - | 0 | 1 | - | Unknown |
| Watershed Financial Planning & Wealth Management, … CRD: 281112 | - | 0 | 0 | - | Unknown |
| Watershed Private Wealth CRD: 316408 | - | 0 | 1 | - | Unknown |
| Watershed Wealth CRD: 325405 | - | 0 | 1 | - | Unknown |
| Watershed Wealth Planning LLC CRD: 285980 | - | 0 | 1 | - | Unknown |
| Waterside Life Transitions, LLC CRD: 173095 | - | 0 | 0 | - | Unknown |
| Waterside Wealth Advisors, LLC CRD: 309778 | - | 0 | 0 | - | Unknown |
| Waterstar CRD: 299743 | - | 0 | 0 | - | Unknown |
| Waterstone Advisors LLC CRD: 160148 | - | 0 | 2 | - | Unknown |
| Waterstone Financial Group, Inc. CRD: 10078 | - | 3 | 0 | C | INACTIVE |
| Waterstone Wealth Advisors, LLC CRD: 139265 | - | 0 | 1 | - | Unknown |
| Waterton Global Resource Management, Inc. CRD: 168873 | - | 0 | 0 | - | Unknown |
| Waterton Gold Management Inc. CRD: 342482 | - | 0 | 0 | - | Unknown |
| Waterton Investment Adviser, L.L.C. CRD: 285602 | - | 0 | 1 | - | Unknown |
| Watertower Ventures Management, LLC CRD: 310494 | - | 0 | 1 | - | Unknown |
| Waterview Securities, Inc. CRD: 147300 | TX | 0 | 2 | A | Active |
| Waterville Valley Securities CRD: 13960 | - | 0 | 0 | A | INACTIVE |
| Waterway Capital LLC CRD: 128212 | MA | 0 | 3 | A | Active |
| Waterway Wealth Management, L.L.C. CRD: 164975 | - | 0 | 1 | - | Unknown |
| Watkins and Associates Investment Services, LLC CRD: 171624 | - | 0 | 0 | - | Unknown |
| Watkins Financial Limited CRD: 115889 | - | 0 | 0 | - | Unknown |
| Watkins International Securities Inc. CRD: 38752 | - | 0 | 0 | A | INACTIVE |
| Watson & Taylor Investments Inc. CRD: 11241 | - | 0 | 0 | A | INACTIVE |
| Watson Capital Partners, L.L.C. CRD: 135735 | - | 0 | 0 | - | Unknown |
| Watson House Investment Management, LLC CRD: 300512 | - | 0 | 1 | - | Unknown |
| Watson Investment Company CRD: 135841 | - | 0 | 0 | - | Unknown |
| Watson Investment Management, Inc. CRD: 171513 | - | 0 | 0 | - | Unknown |
| Watson Securities Corp CRD: 123378 | - | 0 | 0 | A | INACTIVE |
| Watson Securities West, Incorporated CRD: 10497 | - | 0 | 0 | A | INACTIVE |
| Watson Wilkins & Brown, LLC CRD: 148132 | - | 0 | 0 | - | Unknown |
| Watt Asset Management LP CRD: 305930 | - | 0 | 0 | - | Unknown |
| Watters Financial Services, LLC CRD: 126339 | - | 0 | 0 | - | Unknown |
| Watts Capital Partners LLC CRD: 149049 | - | 0 | 1 | - | Unknown |
| Watts Gwilliam & Company, LLC CRD: 131458 | - | 0 | 4 | - | Unknown |
| Waud Capital Partners CRD: 160632 | - | 0 | 1 | - | Unknown |
| Wave & Breakout L.L.C. CRD: 293824 | - | 0 | 1 | - | Unknown |
| Wave 8 Wealth Management, LLC CRD: 323487 | - | 0 | 1 | - | Unknown |
| Wave Capital CRD: 299004 | - | 0 | 1 | - | Unknown |
| Wave Digital Assets International Ltd. CRD: 335199 | - | 0 | 0 | - | Unknown |
| Wave Digital Assets LLC CRD: 305726 | - | 0 | 2 | - | Unknown |
| Wave Equity Partners CRD: 170642 | - | 0 | 1 | - | Unknown |
| Wave Financial CRD: 292343 | - | 0 | 0 | - | Unknown |
| Wave Function Ventures Fund Management, LLC CRD: 333165 | - | 0 | 1 | - | Unknown |
| Wave Hill Capital Management LLC CRD: 154807 | - | 0 | 0 | - | Unknown |
| Wave Rider Capital Asset Management Limited CRD: 316109 | - | 0 | 0 | - | Unknown |
| Wave Securities, LLC CRD: 43705 | - | 7 | 0 | D | INACTIVE |
| Wave Wealth CRD: 331913 | - | 0 | 1 | - | Unknown |
| Wave Wealth Management, LLC CRD: 285079 | - | 0 | 1 | - | Unknown |