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 |
|---|---|---|---|---|---|
| Westwood Capital, LLC CRD: 39551 | NY | 1 | 2 | B | Active |
| Westwood Global Investments CRD: 125012 | - | 0 | 4 | - | Unknown |
| Westwood Management Corp CRD: 110269 | - | 0 | 10 | - | Unknown |
| Westwood Management Corporation CRD: 110354 | - | 0 | 0 | - | Unknown |
| Westwood Partners, Ltd. CRD: 44723 | - | 0 | 0 | A | INACTIVE |
| Westwood Securities Company CRD: 8553 | - | 0 | 0 | A | INACTIVE |
| Westwood Wealth Management CRD: 132162 | - | 0 | 5 | - | Unknown |
| Westwood Wealth Management CRD: 290658 | - | 0 | 1 | - | Unknown |
| Wetrade Markets CRD: 304211 | - | 0 | 0 | - | Unknown |
| Wevin LLC CRD: 317479 | - | 0 | 1 | - | Unknown |
| Wework Alumni Fund, LLC CRD: 319195 | - | 0 | 1 | - | Unknown |
| Wework Capital Advisors LLC CRD: 291923 | - | 0 | 0 | - | Unknown |
| Wexford Capital LP CRD: 108726 | - | 0 | 1 | - | Unknown |
| Wexford Clearing Services, LLC CRD: 39310 | - | 4 | 0 | C | INACTIVE |
| Wexford Wealth Advisors LLC CRD: 288407 | - | 0 | 1 | - | Unknown |
| Wexler Financial Group CRD: 310728 | - | 0 | 1 | - | Unknown |
| Wextrust Securities LLC CRD: 137559 | - | 2 | 0 | B | INACTIVE |
| Wexwood CRD: 282336 | - | 0 | 0 | - | Unknown |
| Weybosset Research & Management, LLC CRD: 108047 | - | 0 | 2 | - | Unknown |
| Weydert Wealth Management CRD: 154686 | - | 0 | 0 | - | Unknown |
| WFA Asset Management Corp CRD: 106102 | - | 0 | 0 | - | Unknown |
| WFA of SAN Diego CRD: 307404 | - | 0 | 2 | - | Unknown |
| WFG Advisors, LP CRD: 125073 | - | 0 | 0 | - | Unknown |
| WFG Associates, Inc. CRD: 126629 | - | 0 | 0 | - | Unknown |
| WFG Investments, Inc. CRD: 22704 | - | 27 | 0 | F | INACTIVE |
| WFG Securities Corporation CRD: 13169 | - | 0 | 0 | A | INACTIVE |
| WFI Securities, Inc. CRD: 5985 | - | 0 | 0 | A | INACTIVE |
| WFM Asia (BVI) Limited CRD: 139173 | - | 0 | 0 | - | Unknown |
| WFM Asia (HK) Limited CRD: 139184 | - | 0 | 0 | - | Unknown |
| WFO Investment Managers, LLC CRD: 315522 | - | 0 | 0 | - | Unknown |
| WFP Securities CRD: 35098 | - | 3 | 0 | B | INACTIVE |
| WFS Securities Services, Inc. CRD: 15606 | - | 0 | 0 | A | INACTIVE |
| WFS, LLC CRD: 116778 | MA | 0 | 2 | A | Active |
| WG Plan LLC CRD: 338296 | - | 0 | 2 | - | Unknown |
| WG Trading Company Limited Partnership CRD: 27308 | - | 2 | 0 | B | INACTIVE |
| WGD Capital, LP CRD: 306887 | - | 0 | 1 | - | Unknown |
| WGI DM, LLC CRD: 334219 | - | 0 | 1 | - | Unknown |
| WGI LLC CRD: 137035 | - | 0 | 0 | - | Unknown |
| WGS Capital, LLC CRD: 35144 | - | 0 | 0 | A | INACTIVE |
| WGS Management Services, Inc CRD: 270003 | - | 0 | 2 | - | Unknown |
| WGT Asset Management CRD: 161690 | - | 0 | 0 | - | Unknown |
| WGW Advisors CRD: 116171 | - | 0 | 0 | - | Unknown |
| WGW Associates CRD: 10113 | - | 0 | 0 | A | INACTIVE |
| WH Cornerstone Investments Inc. CRD: 119725 | - | 0 | 1 | - | Unknown |
| WH Wealth Management LLC CRD: 145680 | - | 0 | 1 | - | Unknown |
| Whafs Equities Corporation CRD: 41091 | - | 0 | 0 | A | INACTIVE |
| Whale CRD: 330063 | - | 0 | 1 | - | Unknown |
| Whale Rock Capital Management CRD: 140746 | - | 0 | 1 | - | Unknown |
| Whale Shark Financial LLC CRD: 289002 | - | 0 | 1 | - | Unknown |
| Whalen Capital, Inc. CRD: 130016 | - | 0 | 0 | - | Unknown |