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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Williams & Mcguire, Inc.
CRD: 14415
 - 0 0 A INACTIVE
Williams & Novak Wealth Management, LLC
CRD: 324173
 - 0 5 - Unknown
Williams 360 Financial Advisory, LLC
CRD: 175485
 - 0 2 - Unknown
Williams Advisory Group
CRD: 175402
 - 0 0 - Unknown
Williams and Schiller Wealth Management, LLC
CRD: 143049
 - 0 4 - Unknown
Williams Asset Management
CRD: 338196
 - 0 1 - Unknown
Williams Benator & Libby Financial Services, LLC
CRD: 120570
 - 0 0 A INACTIVE
Williams Capital Corporation
CRD: 121888
 - 0 0 - Unknown
Williams Capital Management
CRD: 114329
 - 0 0 - Unknown
Williams Capital Management Company
CRD: 109412
 - 0 1 - Unknown
Williams Financial Group
CRD: 310008
 - 0 1 - Unknown
Williams Financial, LLC
CRD: 137038
 - 0 2 - Unknown
Williams Group, LLC
CRD: 288398
 - 0 0 - Unknown
Williams Investment Management, Inc.
CRD: 113958
 - 0 0 - Unknown
Williams Jones Wealth Management, LLC
CRD: 301925
 - 0 7 - Unknown
Williams Mackay Jordan & Co., Incorporated
CRD: 27378
 - 0 0 A INACTIVE
Williams Market Analytics LLC
CRD: 283496
 - 0 1 - Unknown
Williams Securities Group, Inc.
CRD: 3770
 - 0 0 A INACTIVE
Williams Trading LLC
CRD: 43678
 CT 1 2 B Active
Williams Wealth Management
CRD: 309307
 - 0 1 - Unknown
Williams Wealth Management Group, Inc.
CRD: 147341
 - 0 1 - Unknown
Williams Wealth Management, Inc.
CRD: 284826
 - 0 1 - Unknown
Williams Wealth Management, Inc.
CRD: 133335
 - 0 1 - Unknown
Williams Wealth Services
CRD: 289528
 - 0 0 - Unknown
Williams, Bruce Alan
CRD: 102600
 - 0 0 A INACTIVE
Williams, Jones & Associates, LLC
CRD: 106861
 - 0 0 - Unknown
Williams, Michael
CRD: 16461
 - 0 0 A INACTIVE
Williams, Ronald Gaylord
CRD: 118176
 - 0 0 - Unknown
Williamson Legacy Group, LLC
CRD: 318629
 - 0 6 - Unknown
Williamson Price Modern Wealth Management LLC
CRD: 342501
 - 0 1 - Unknown
Williamson Ross Financial
CRD: 301826
 - 0 2 - Unknown
Williamson Wealth Management
CRD: 290697
 - 0 2 - Unknown
Willie J. Price, Inc
CRD: 115226
 - 0 1 - Unknown
Willingdon Wealth Management LLC
CRD: 129613
 - 0 0 - Unknown
Willink Asset Management LLC
CRD: 117622
 - 0 0 - Unknown
Willis Financial Services, Inc.
CRD: 155501
 - 0 2 - Unknown
Willis Investment Counsel Inc
CRD: 111042
 - 0 2 - Unknown
Willis Johnson Wealth
CRD: 119759
 - 0 1 - Unknown
Willis Stein & Partners Management III, L.L.C.
CRD: 160637
 - 0 0 - Unknown
Willis Towers Watson Securities, LLC
CRD: 317602
 NY 0 3 A Active
Willis, Benedict, Patrick
CRD: 130599
 - 0 0 A INACTIVE
Willis-Sutton, Ltd.
CRD: 10360
 - 0 0 A INACTIVE
Willkate Wealth Management, LLC
CRD: 167109
 - 0 1 - Unknown
Willner & Heller LLC
CRD: 135406
 - 0 1 - Unknown
Willoughby Hill Wealth Management, LLC
CRD: 115449
 - 0 0 - Unknown
Willoughby Investments, LLC
CRD: 342092
 - 0 1 - Unknown
Willow
CRD: 150814
 - 0 0 - Unknown
Willow
CRD: 325785
 - 0 1 - Unknown
Willow Cove Investment Group, Inc.
CRD: 107824
 WI 1 3 B Active
Willow Creek Capital Management, Inc.
CRD: 333911
 - 0 1 - Unknown
Page 1569 of 1601 (80,028 total)
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