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 |
|---|---|---|---|---|---|
| Wesley Capital Management, LLC CRD: 138859 | - | 0 | 0 | - | Unknown |
| Wesley Financial, Inc. CRD: 15391 | - | 0 | 0 | A | INACTIVE |
| Wesley Owen Bales Investment Advisory Service CRD: 114010 | - | 0 | 2 | - | Unknown |
| Wesley Street Financial LLC CRD: 283244 | - | 0 | 0 | - | Unknown |
| Wespac Advisors, LLC CRD: 148242 | - | 0 | 6 | - | Unknown |
| Wespac Hawaii Securities, Inc. CRD: 34659 | - | 1 | 0 | B | INACTIVE |
| Wessel Investment Counsel, L.L.C. CRD: 129911 | - | 0 | 1 | - | Unknown |
| Wessels, Arnold & Henderson, L.L.C. CRD: 17914 | - | 0 | 0 | A | INACTIVE |
| Wesson, Kyle Douglas CRD: 316658 | - | 0 | 0 | - | Unknown |
| Wesstar Securities, Inc. CRD: 31278 | - | 0 | 0 | A | INACTIVE |
| West Acre Capital, LLC CRD: 331526 | - | 0 | 1 | - | Unknown |
| West Advisors, Inc. CRD: 157236 | - | 0 | 2 | - | Unknown |
| West America Securities Corp CRD: 35035 | - | 10 | 0 | D | INACTIVE |
| West American Securities Inc. CRD: 11866 | - | 0 | 0 | A | INACTIVE |
| West Arbor Solutions, LLC CRD: 320961 | - | 0 | 1 | - | Unknown |
| West Basin Capital Management, LLC CRD: 331590 | - | 0 | 0 | - | Unknown |
| West BAY Financial Group Incorporated CRD: 46052 | - | 0 | 0 | A | INACTIVE |
| West BAY Securities, Inc. CRD: 21168 | - | 0 | 0 | A | INACTIVE |
| West Branch Capital LLC CRD: 133813 | - | 0 | 4 | - | Unknown |
| West Broadway Partners L.P. CRD: 30600 | - | 0 | 0 | A | INACTIVE |
| West Broadway Securities Ltd. CRD: 40058 | - | 0 | 0 | A | INACTIVE |
| West Brow Capital Management, LLC CRD: 335438 | - | 0 | 1 | - | Unknown |
| West Capital Advisors LLC CRD: 165638 | - | 0 | 0 | - | Unknown |
| West Capital Management, Inc. CRD: 110572 | - | 0 | 0 | - | Unknown |
| West Coast Capital Corp. CRD: 17965 | - | 0 | 0 | A | INACTIVE |
| West Coast Capital Management, LLC CRD: 141981 | - | 0 | 2 | - | Unknown |
| West Coast Financial Wealth Management, Inc CRD: 158644 | - | 0 | 1 | - | Unknown |
| West Coast Financial, LLC CRD: 104677 | - | 0 | 0 | - | Unknown |
| West Continental Securities, Inc. CRD: 5924 | - | 0 | 0 | A | INACTIVE |
| West Creek Capital CRD: 158066 | - | 0 | 0 | - | Unknown |
| West Creek Management, LLC CRD: 322282 | - | 0 | 1 | - | Unknown |
| West ELK Capital, LLC CRD: 292743 | - | 0 | 1 | - | Unknown |
| West END Capital LLC CRD: 45094 | - | 0 | 0 | A | INACTIVE |
| West END SPV Manager LLC CRD: 340651 | - | 0 | 1 | - | Unknown |
| West END Wealth Management, LLC CRD: 234791 | - | 0 | 1 | - | Unknown |
| West Face Capital Inc. CRD: 162056 | - | 0 | 0 | - | Unknown |
| West Financial Advisors, L.L.C. CRD: 142265 | - | 0 | 2 | - | Unknown |
| West Financial Planning CRD: 147138 | - | 0 | 1 | - | Unknown |
| West Financial Services, Inc. CRD: 137497 | - | 0 | 9 | - | Unknown |
| West Fork Capital Advisors LLC CRD: 328340 | - | 0 | 1 | - | Unknown |
| West Fork Wealth Management LLC CRD: 331919 | - | 0 | 1 | - | Unknown |
| West Hall Capital Partners LLC CRD: 300828 | - | 0 | 1 | - | Unknown |
| West Hill Financial Services, LLC CRD: 172366 | - | 0 | 0 | - | Unknown |
| West Horizon Capital CRD: 337734 | - | 0 | 1 | - | Unknown |
| West Invest CRD: 327641 | - | 0 | 1 | - | Unknown |
| West Invest, LLC CRD: 317156 | - | 0 | 0 | - | Unknown |
| West Investment Advice LLC CRD: 124183 | - | 0 | 0 | - | Unknown |
| West Loop Financial LLC CRD: 172670 | - | 0 | 1 | - | Unknown |
| West Loop Investment Advisors, Ltd. CRD: 285432 | - | 0 | 0 | - | Unknown |
| West Market Wealth Management CRD: 322602 | - | 0 | 0 | - | Unknown |