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 |
|---|---|---|---|---|---|
| Wells Fargo Clearing Services, LLC CRD: 19616 | MO | 489 | 7,651 | B | Active |
| Wells Fargo Institutional Securities, LLC CRD: 5958 | - | 4 | 0 | C | INACTIVE |
| Wells Fargo Insurance Services Investment Advisors… CRD: 35419 | - | 0 | 0 | A | INACTIVE |
| Wells Fargo Insurance Services Investment Advisors… CRD: 41936 | - | 1 | 0 | B | INACTIVE |
| Wells Fargo Investment Institute, Inc. CRD: 133204 | - | 0 | 56 | - | Unknown |
| Wells Fargo Investment Services, LLC CRD: 43882 | - | 1 | 0 | B | INACTIVE |
| Wells Fargo Investments, LLC CRD: 10582 | - | 86 | 0 | F | INACTIVE |
| Wells Fargo Lease Funding Corporation CRD: 11092 | - | 0 | 0 | A | INACTIVE |
| Wells Fargo Securities Inc. CRD: 17438 | - | 15 | 0 | D | INACTIVE |
| Wells Fargo Securities, LLC CRD: 7665 | - | 16 | 0 | D | INACTIVE |
| Wells Fargo Securities, LLC CRD: 126292 | NC | 162 | 84 | D | Active |
| Wells Financial Management, LLC CRD: 158030 | - | 0 | 2 | - | Unknown |
| Wells Financial Services CRD: 112665 | - | 0 | 0 | - | Unknown |
| Wells Investment Securities,Inc. CRD: 15252 | - | 2 | 0 | B | INACTIVE |
| Wells Investments, Inc. CRD: 131076 | - | 0 | 4 | - | Unknown |
| Wells Nelson & Associates, L.L.C. CRD: 104030 | - | 1 | 0 | B | INACTIVE |
| Wells Street Advisors, LLC CRD: 166700 | - | 0 | 1 | - | Unknown |
| Wells Trecaso Financial Group, LLC CRD: 289899 | - | 0 | 0 | - | Unknown |
| Wells, BOB CRD: 316929 | - | 0 | 0 | - | Unknown |
| Wells, FAY CRD: 326454 | - | 0 | 1 | - | Unknown |
| Wells, Lincoln Thomas CRD: 107511 | - | 0 | 0 | A | INACTIVE |
| Wellsage Wealth Management LLC CRD: 339550 | - | 0 | 1 | - | Unknown |
| Wellsford Securities Corp. CRD: 20069 | - | 0 | 0 | A | INACTIVE |
| Wellshire Securities, Inc. CRD: 17939 | - | 0 | 0 | A | INACTIVE |
| Wellspring Advisors, Inc. CRD: 147861 | - | 0 | 3 | - | Unknown |
| Wellspring Capital Advisors, LLC CRD: 132698 | - | 0 | 1 | - | Unknown |
| Wellspring Capital Group, Ltd. CRD: 152400 | - | 0 | 2 | - | Unknown |
| Wellspring Capital Management LLC CRD: 161184 | - | 0 | 1 | - | Unknown |
| Wellspring Family Office CRD: 143112 | - | 0 | 1 | - | Unknown |
| Wellspring Financial Planners PLLC CRD: 172815 | - | 0 | 0 | - | Unknown |
| Wellspring Financial, LLC CRD: 288023 | - | 0 | 4 | - | Unknown |
| Wellspring Investing CRD: 338370 | - | 0 | 1 | - | Unknown |
| Wellspring Planning Group LLC CRD: 283593 | - | 0 | 8 | - | Unknown |
| Wellspring Wealth Coaching, LLC CRD: 157657 | - | 0 | 0 | - | Unknown |
| Wellspring Wealth Management LLC CRD: 134834 | - | 0 | 8 | - | Unknown |
| Wellspring99 CRD: 162427 | - | 0 | 0 | - | Unknown |
| Wellstone Securities, LLC CRD: 121559 | - | 1 | 0 | B | INACTIVE |
| Wellth Advisory Services, LLC CRD: 330537 | - | 0 | 74 | - | Unknown |
| Wellth Financial Planning CRD: 310300 | - | 0 | 1 | - | Unknown |
| Welon Partners CRD: 297322 | - | 0 | 2 | - | Unknown |
| Welsh Hills Financial Services, LLC CRD: 119949 | - | 0 | 0 | - | Unknown |
| Welsh Securities LLC CRD: 148203 | - | 0 | 0 | A | INACTIVE |
| Welshire Capital, LLC CRD: 143960 | - | 0 | 0 | - | Unknown |
| Welspire LLC CRD: 176518 | - | 0 | 1 | - | Unknown |
| Welter Financial Planning, LLC CRD: 301933 | - | 0 | 0 | - | Unknown |
| Welton & Co., Inc. CRD: 4265 | - | 0 | 0 | A | INACTIVE |
| Welton Fund Advisors LLC CRD: 170777 | - | 0 | 0 | - | Unknown |
| Welton Street Investments LLC CRD: 132111 | - | 0 | 0 | A | INACTIVE |
| Welty Capital Management LLC CRD: 110571 | - | 0 | 0 | - | Unknown |
| Welwing Capital Group Limited CRD: 306751 | - | 0 | 0 | - | Unknown |