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 |
|---|---|---|---|---|---|
| Whiskey Capital Finance Co., LLC CRD: 307482 | - | 0 | 1 | - | Unknown |
| Whiskey Finance Sponsor, LLC. CRD: 333807 | - | 0 | 0 | - | Unknown |
| Whisper Financial CRD: 317414 | - | 0 | 1 | - | Unknown |
| Whisper Wealth Advisors LLC CRD: 339118 | - | 0 | 1 | - | Unknown |
| Whisper Wealth Builders CRD: 310842 | - | 0 | 1 | - | Unknown |
| Whistler Asset Management CRD: 170527 | - | 0 | 0 | - | Unknown |
| Whistler Capital Partners LLC CRD: 316528 | - | 0 | 1 | - | Unknown |
| Whistler Trading, L.L.C. CRD: 130859 | - | 0 | 0 | A | INACTIVE |
| Whiston Asset Management CRD: 118691 | - | 0 | 1 | - | Unknown |
| Whitaker Financial Advisors, LLC CRD: 174472 | - | 0 | 0 | - | Unknown |
| Whitaker Securities LLC CRD: 121465 | - | 6 | 0 | D | INACTIVE |
| Whitaker-Myers Wealth Managers, Ltd. CRD: 286093 | - | 0 | 8 | - | Unknown |
| Whitcomb & Associates, Inc. CRD: 11613 | - | 0 | 0 | A | INACTIVE |
| Whitcomb & Hess, Inc. CRD: 121064 | - | 0 | 2 | - | Unknown |
| Whitcraft Capital Management CRD: 138372 | - | 0 | 1 | - | Unknown |
| White Aspen Capital LLC CRD: 308370 | - | 0 | 1 | - | Unknown |
| White Bison CRD: 165256 | - | 0 | 0 | - | Unknown |
| White Brook Capital CRD: 283041 | - | 0 | 1 | - | Unknown |
| White CAP Trading, LLC CRD: 127002 | - | 0 | 0 | A | INACTIVE |
| White Cedar Capital Inc CRD: 281270 | - | 0 | 0 | - | Unknown |
| White Cedar Research, LLC CRD: 332253 | - | 0 | 1 | - | Unknown |
| White Crest Capital CRD: 210520 | - | 0 | 1 | - | Unknown |
| White Deer CRD: 161361 | - | 0 | 1 | - | Unknown |
| White ELM Capital, LLC CRD: 157489 | - | 0 | 0 | - | Unknown |
| White Financial Services, Inc. CRD: 10428 | - | 0 | 0 | A | INACTIVE |
| White HAT Capital Partners LP CRD: 288059 | - | 0 | 1 | - | Unknown |
| White Hawk Wealth Management CRD: 341034 | - | 0 | 1 | - | Unknown |
| White Hibiscus Capital LLC CRD: 317079 | - | 0 | 0 | - | Unknown |
| White Investment Corporation CRD: 10088 | - | 0 | 0 | A | INACTIVE |
| White Investment Management CRD: 151497 | - | 0 | 0 | - | Unknown |
| White Knight Strategic Wealth Advisors, LLC CRD: 302098 | - | 0 | 1 | - | Unknown |
| White Lighthouse Investment Management S.A.R.L. CRD: 172284 | - | 0 | 0 | - | Unknown |
| White Lighthouse Investment Management, Inc. CRD: 108030 | - | 0 | 3 | - | Unknown |
| White Maple Capital LLC CRD: 324437 | - | 0 | 1 | - | Unknown |
| White Mcgowan CRD: 297785 | - | 0 | 2 | - | Unknown |
| White Mountain Capital, LLC CRD: 104123 | FL | 2 | 3 | B | Active |
| White Mountains Advisors LLC CRD: 104891 | - | 0 | 0 | - | Unknown |
| White OAK Capital Management CRD: 123755 | - | 0 | 0 | - | Unknown |
| White OAK Capital Management CRD: 128480 | - | 0 | 0 | - | Unknown |
| White OAK Capital Management Consultants LLP CRD: 301784 | - | 0 | 0 | - | Unknown |
| White OAK Financial Management, Inc CRD: 142615 | - | 0 | 1 | - | Unknown |
| White OAK Global Advisors, LLC CRD: 149659 | - | 0 | 1 | - | Unknown |
| White OAK Merchant Partners LLC CRD: 140142 | CA | 0 | 4 | A | Active |
| White OAK Partners Investment Advisor, LLC CRD: 157766 | - | 0 | 1 | - | Unknown |
| White OAK Securities, Inc. CRD: 39807 | - | 0 | 0 | A | INACTIVE |
| White OAK Systems CRD: 133553 | - | 0 | 0 | - | Unknown |
| White OAK Wealth LLC CRD: 169385 | - | 0 | 1 | - | Unknown |
| White OAK Wealth Management CRD: 291119 | - | 0 | 0 | - | Unknown |
| White OAK Wealth Management CRD: 299021 | - | 0 | 3 | - | Unknown |
| White OAK Wealth Partners CRD: 317324 | - | 0 | 1 | - | Unknown |