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 |
|---|---|---|---|---|---|
| West Michigan Advisors CRD: 312073 | - | 0 | 1 | - | Unknown |
| West Monroe Capital CRD: 317408 | - | 0 | 1 | - | Unknown |
| West Mountain, LLC CRD: 144674 | - | 0 | 0 | - | Unknown |
| West OAK Capital, LLC CRD: 128473 | - | 0 | 0 | - | Unknown |
| West OAK Wealth CRD: 329170 | - | 0 | 2 | - | Unknown |
| West of Route ONE Investments, Inc. CRD: 38160 | - | 0 | 0 | A | INACTIVE |
| West Paces Advisors, Inc. CRD: 175512 | - | 0 | 1 | - | Unknown |
| West Penn Securities CRD: 3755 | - | 0 | 0 | A | INACTIVE |
| West Pine 43 LLC CRD: 326789 | - | 0 | 1 | - | Unknown |
| West Potomac Capital LLC CRD: 309094 | - | 0 | 0 | - | Unknown |
| West Ratcliff & Company, Inc. CRD: 38371 | - | 0 | 0 | A | INACTIVE |
| West Ridge Advisors CRD: 282718 | - | 0 | 10 | - | Unknown |
| West Ridge Capital Management L.L.C. CRD: 332236 | - | 0 | 2 | - | Unknown |
| West Ridge Securities LLC CRD: 137795 | - | 0 | 0 | A | INACTIVE |
| West RIM Capital Associates II, L.P. CRD: 145085 | - | 0 | 1 | - | Unknown |
| West RIM Capital I, LLC CRD: 124760 | - | 0 | 0 | - | Unknown |
| West Securities CRD: 14177 | - | 0 | 0 | A | INACTIVE |
| West Shore Group, LLC CRD: 167778 | - | 0 | 0 | - | Unknown |
| West Shore Trading, Inc. CRD: 34036 | - | 1 | 0 | B | INACTIVE |
| West Shore Ventures LLC CRD: 334681 | - | 0 | 1 | - | Unknown |
| West Side Advisors, LLC CRD: 112578 | - | 0 | 0 | - | Unknown |
| West Side Capital, LLC CRD: 47015 | - | 0 | 0 | A | INACTIVE |
| West Star Management LLC CRD: 339799 | - | 0 | 1 | - | Unknown |
| West Street Financial Services LLC CRD: 133481 | - | 0 | 0 | - | Unknown |
| West Suburban Securities, Inc. CRD: 39154 | - | 0 | 0 | A | INACTIVE |
| West Tower Group, LLC CRD: 323520 | - | 0 | 1 | - | Unknown |
| West Valley Securities, Inc. CRD: 17658 | - | 0 | 0 | A | INACTIVE |
| West Venture Management, LLC CRD: 290760 | - | 0 | 0 | - | Unknown |
| West Wealth Group, LLC CRD: 316644 | - | 0 | 5 | - | Unknown |
| West Wind Trading Company CRD: 17000 | - | 0 | 0 | A | INACTIVE |
| West Wind Wealth Management, LLC CRD: 149370 | - | 0 | 0 | - | Unknown |
| West York Securities, Inc. CRD: 7686 | - | 0 | 0 | A | INACTIVE |
| West-East Wealth Management, LLC CRD: 287583 | - | 0 | 2 | - | Unknown |
| Westamerica Investment Group CRD: 6626 | - | 5 | 0 | C | INACTIVE |
| Westar Financial Services, Inc. CRD: 16028 | - | 0 | 0 | A | INACTIVE |
| Westbeck Capital (Difc) Limited CRD: 331253 | - | 0 | 0 | - | Unknown |
| Westbound Equity Management, LLC CRD: 306955 | - | 0 | 1 | - | Unknown |
| Westbourne Infrastructure Debt GP 2 Limited CRD: 301035 | - | 0 | 0 | - | Unknown |
| Westbourne Investment Advisors Inc. CRD: 144571 | - | 0 | 2 | - | Unknown |
| Westbourne Investments, Inc. CRD: 37499 | - | 1 | 6 | B | INACTIVE |
| Westbridge Capital CRD: 282790 | - | 0 | 0 | - | Unknown |
| Westbridge Capital US Advisors, LP CRD: 161527 | - | 0 | 1 | - | Unknown |
| Westbrook Financial Advisers CRD: 126625 | - | 0 | 0 | - | Unknown |
| Westbrook Financial Advisers CRD: 298824 | - | 0 | 0 | - | Unknown |
| Westbrook Securities, Inc. CRD: 16221 | - | 0 | 0 | A | INACTIVE |
| Westbury Group LLC CRD: 129985 | CT | 0 | 2 | A | Active |
| Westcap CRD: 150131 | - | 0 | 0 | - | Unknown |
| Westcap Management, LLC CRD: 301822 | - | 0 | 1 | - | Unknown |
| Westcap Markets, LLC CRD: 318970 | NH | 0 | 3 | A | Active |
| Westcap Securities, Inc. CRD: 45250 | - | 2 | 0 | B | INACTIVE |