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 |
|---|---|---|---|---|---|
| Whalen Financial CRD: 311869 | - | 0 | 1 | - | Unknown |
| Whalen Financial Planning CRD: 289431 | - | 0 | 1 | - | Unknown |
| Whalerock Point Partners, LLC CRD: 140781 | - | 0 | 2 | - | Unknown |
| Whaletrade, LLC CRD: 48011 | - | 0 | 0 | A | INACTIVE |
| Whaley Capital Group, LLC CRD: 151600 | - | 0 | 0 | - | Unknown |
| Whard Stewart CRD: 166386 | - | 0 | 0 | - | Unknown |
| Wharton Business Group, LLC CRD: 133722 | - | 0 | 1 | - | Unknown |
| Wharton Capital Markets LLC CRD: 44632 | - | 1 | 0 | B | INACTIVE |
| Wharton Equity Corporation CRD: 10170 | - | 1 | 0 | B | INACTIVE |
| Wharton Financial Corp. CRD: 7286 | - | 0 | 0 | A | INACTIVE |
| Wharton Financial Group CRD: 133070 | - | 0 | 2 | - | Unknown |
| Wharton Income Group, Inc. CRD: 21150 | - | 0 | 0 | A | INACTIVE |
| Wharton Midmarket Investment Advisors Inc CRD: 301186 | - | 0 | 2 | - | Unknown |
| Wharton Wealth Management, LLC CRD: 281348 | - | 0 | 1 | - | Unknown |
| Wharton Wealth Planning, LLC CRD: 319716 | - | 0 | 1 | - | Unknown |
| Wharton84 Capital Management, LLC CRD: 158769 | - | 0 | 0 | - | Unknown |
| What About US Financial CRD: 306116 | - | 0 | 2 | - | Unknown |
| What IF Ventures CRD: 310429 | - | 0 | 1 | - | Unknown |
| WHB Investment Adviser, LLC CRD: 170558 | - | 0 | 0 | - | Unknown |
| WHC Securities, Inc. CRD: 13132 | - | 0 | 0 | A | INACTIVE |
| Whealth Advisors CRD: 304669 | - | 0 | 1 | - | Unknown |
| Whealthy Empowerment Network CRD: 334271 | - | 0 | 3 | - | Unknown |
| Wheat Givens Financial, LLC CRD: 114258 | - | 0 | 0 | - | Unknown |
| Wheaten Partners, Ltd. CRD: 38476 | - | 1 | 0 | B | INACTIVE |
| Wheatland Advisors Inc CRD: 105026 | - | 0 | 0 | - | Unknown |
| Wheaton, Christopher M. CRD: 121044 | - | 0 | 0 | A | INACTIVE |
| Wheel Advisors LLC CRD: 338450 | - | 0 | 1 | - | Unknown |
| Wheeler & Mote, LLC CRD: 115312 | - | 0 | 2 | - | Unknown |
| Wheeler Municipals Corporation CRD: 16257 | - | 0 | 0 | A | INACTIVE |
| Wheeler Planning, LLC CRD: 289818 | - | 0 | 0 | - | Unknown |
| Wheeler Retirement Plans LLC CRD: 327889 | - | 0 | 1 | - | Unknown |
| Wheeler Securities Company CRD: 13285 | - | 0 | 0 | A | INACTIVE |
| Wheelhouse 360 Advisors LP CRD: 319603 | - | 0 | 1 | - | Unknown |
| Wheelhouse Advisory Group, LLC CRD: 312806 | - | 0 | 1 | - | Unknown |
| Wheelhouse GP, LLC CRD: 298043 | - | 0 | 0 | - | Unknown |
| Wheelock Street Capital LLC CRD: 164854 | - | 0 | 1 | - | Unknown |
| Wheels UP Wealth, Inc. CRD: 307736 | - | 0 | 3 | - | Unknown |
| Whelan Capital Mangement CRD: 107216 | - | 0 | 2 | - | Unknown |
| Whelan Financial CRD: 107227 | - | 0 | 1 | - | Unknown |
| Whelan Securities Inc CRD: 32798 | - | 0 | 0 | A | INACTIVE |
| Whetstone Capital Advisors CRD: 155414 | - | 0 | 1 | - | Unknown |
| WHF Investment Management, LLC CRD: 145830 | - | 0 | 0 | - | Unknown |
| WHI Collective Real Estate LP CRD: 342892 | - | 0 | 1 | - | Unknown |
| WHI Real Estate Partners L.P. CRD: 282229 | - | 0 | 0 | - | Unknown |
| Whichard Roach Financial CRD: 334854 | - | 0 | 1 | - | Unknown |
| Whicker Wealth Management, LLC CRD: 339786 | - | 0 | 1 | - | Unknown |
| Whipplewood Advisors, LLC CRD: 282860 | - | 0 | 2 | - | Unknown |
| Whippo Asset Management LLC CRD: 285603 | - | 0 | 0 | - | Unknown |
| Whippoorwill Associates Inc CRD: 107497 | - | 0 | 1 | - | Unknown |
| Whiskey Capital Finance Co. II, LLC CRD: 325144 | - | 0 | 1 | - | Unknown |