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 |
|---|---|---|---|---|---|
| Weldon Sullivan Carmichael & Company CRD: 23406 | - | 0 | 0 | A | INACTIVE |
| Welinsky and Welinsky Cpas CRD: 129554 | - | 0 | 3 | - | Unknown |
| Welkin Capital Management Limited CRD: 286114 | - | 0 | 0 | - | Unknown |
| Well Advised, LLC CRD: 326148 | - | 0 | 1 | - | Unknown |
| Well and Good LLC CRD: 151901 | - | 0 | 0 | - | Unknown |
| Well Spent Wealth Planning CRD: 305032 | - | 0 | 1 | - | Unknown |
| Well-Planned Financial LLC CRD: 304622 | - | 0 | 1 | - | Unknown |
| Well-Rounded Success CRD: 282018 | - | 0 | 0 | - | Unknown |
| Wellacre Global Wealth Advisors CRD: 306770 | - | 0 | 1 | - | Unknown |
| Wellcap Ventures, LLC CRD: 315386 | - | 0 | 0 | - | Unknown |
| Wellencourt Wealth Management LLC CRD: 337369 | - | 0 | 1 | - | Unknown |
| Weller Asset Management CRD: 130474 | - | 0 | 0 | - | Unknown |
| Wellesley Hills Capital CRD: 307068 | - | 0 | 1 | - | Unknown |
| Wellesley Hills Securities CRD: 315364 | MA | 0 | 2 | A | Active |
| Wellesley Wealth Advisors LLC CRD: 173538 | - | 0 | 0 | - | Unknown |
| Wellfield Capital Management CRD: 323494 | - | 0 | 0 | - | Unknown |
| Wellfin360 CRD: 329254 | - | 0 | 1 | - | Unknown |
| Wellfit Financial CRD: 149167 | - | 0 | 2 | - | Unknown |
| Wellfleet Investments LLC CRD: 18488 | NY | 0 | 2 | A | Active |
| Wellfull CRD: 288705 | - | 0 | 2 | - | Unknown |
| Welling Associates, Inc. CRD: 12958 | - | 0 | 0 | A | INACTIVE |
| Wellings Capital CRD: 316324 | - | 0 | 0 | - | Unknown |
| Wellington Adams Investment Advisory, LLC CRD: 286055 | - | 0 | 6 | - | Unknown |
| Wellington Alternative Investments CRD: 226715 | - | 0 | 1 | - | Unknown |
| Wellington Capital Markets, L.L.C. CRD: 104937 | - | 3 | 0 | C | INACTIVE |
| Wellington Funds (US) LLC CRD: 288313 | - | 0 | 1 | - | Unknown |
| Wellington Funds Distributors Inc. CRD: 152768 | MA | 0 | 6 | A | Active |
| Wellington Harbor CAP Ltd CRD: 337658 | - | 0 | 1 | - | Unknown |
| Wellington Management Hong Kong Limited CRD: 165208 | - | 0 | 0 | - | Unknown |
| Wellington Management Japan PTE Ltd CRD: 165192 | - | 0 | 0 | - | Unknown |
| Wellington Park Capital, LLC. CRD: 174848 | - | 0 | 0 | - | Unknown |
| Wellington Partners CRD: 333839 | - | 0 | 0 | - | Unknown |
| Wellington Sales Corp. CRD: 7144 | - | 0 | 0 | A | INACTIVE |
| Wellington Securities, Inc. CRD: 14142 | - | 0 | 0 | A | INACTIVE |
| Wellington Securities, Inc. CRD: 16659 | - | 3 | 0 | C | INACTIVE |
| Wellington Square Securities LLC CRD: 124849 | - | 0 | 0 | A | INACTIVE |
| Wellington Wealth Strategies, LLC CRD: 306298 | - | 0 | 0 | - | Unknown |
| Wellington West Capital Markets (USA) Inc. CRD: 133617 | - | 0 | 0 | A | INACTIVE |
| Wellington-Altus USA Inc. CRD: 297314 | - | 0 | 0 | - | Unknown |
| Wellment Financial CRD: 166746 | - | 0 | 2 | - | Unknown |
| Wellmont Securities, L.P. CRD: 19473 | - | 0 | 0 | A | INACTIVE |
| Wellness Growth Ventures CRD: 314761 | - | 0 | 1 | - | Unknown |
| Wellplanned Finance PLLC CRD: 299299 | - | 0 | 0 | - | Unknown |
| Wells & Wells, LLC CRD: 132164 | - | 0 | 0 | - | Unknown |
| Wells Avenue Securities Corp. CRD: 19699 | - | 0 | 0 | A | INACTIVE |
| Wells Capital Management Singapore CRD: 165024 | - | 0 | 0 | - | Unknown |
| Wells Company, Inc. CRD: 10178 | - | 0 | 0 | A | INACTIVE |
| Wells Fargo Advisors Financial Network, LLC CRD: 11025 | MO | 74 | 2,019 | B | Active |
| Wells Fargo Asset Management (International), LLC CRD: 109192 | - | 0 | 0 | - | Unknown |
| Wells Fargo Brokerage Services, L.L.C. CRD: 16100 | - | 19 | 0 | F | INACTIVE |