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 |
|---|---|---|---|---|---|
| Winchester Wealth Management, LLC CRD: 287702 | - | 0 | 0 | - | Unknown |
| Winchester, John Slade CRD: 32647 | - | 0 | 0 | A | INACTIVE |
| Wincoram Asset Management LLC CRD: 312425 | - | 0 | 1 | - | Unknown |
| Wincove CRD: 295192 | - | 0 | 1 | - | Unknown |
| Wincrest Capital Ltd. CRD: 285460 | - | 0 | 0 | - | Unknown |
| Wincrest Securities, Inc. CRD: 28516 | - | 0 | 0 | A | INACTIVE |
| Wind & Rose, LLC CRD: 144354 | - | 0 | 1 | - | Unknown |
| Wind Point Partners CRD: 156485 | - | 0 | 1 | - | Unknown |
| Wind River CRD: 131323 | - | 0 | 0 | - | Unknown |
| Wind River Capital LLC CRD: 306597 | - | 0 | 0 | A | INACTIVE |
| Windbourn Capital, L.P CRD: 41446 | - | 0 | 0 | A | INACTIVE |
| Windbrook Securities, Inc. CRD: 8142 | - | 0 | 0 | A | INACTIVE |
| Windcrest Discovery Investments LLC CRD: 158326 | - | 0 | 0 | - | Unknown |
| Winddrift Securities, L.P. CRD: 44889 | - | 0 | 0 | A | INACTIVE |
| Windemere Advisors, LLC CRD: 283556 | - | 0 | 1 | - | Unknown |
| Winder Capital CRD: 311383 | - | 0 | 0 | - | Unknown |
| Winder Wealth Management LLC CRD: 324342 | - | 0 | 1 | - | Unknown |
| Windermere Capital LLC CRD: 313746 | - | 0 | 0 | - | Unknown |
| Windermere Wealth Advisors, LLC CRD: 153114 | - | 0 | 1 | - | Unknown |
| Windfall Advisors, LLC CRD: 309261 | - | 0 | 2 | - | Unknown |
| Windfall Securities LLC CRD: 147779 | - | 3 | 0 | C | INACTIVE |
| Windgate UC4K LLC CRD: 305578 | - | 0 | 1 | - | Unknown |
| Windham Capital Advisory Services CRD: 119108 | - | 0 | 0 | - | Unknown |
| Windham Capital Group, Inc. CRD: 163797 | - | 0 | 0 | - | Unknown |
| Windham Capital Partners LLC CRD: 299860 | - | 0 | 1 | - | Unknown |
| Windham Securities, Inc. CRD: 20529 | - | 6 | 0 | D | INACTIVE |
| Windham Wealth Management CRD: 322510 | - | 0 | 0 | - | Unknown |
| Windhaven Investment Management, Inc. CRD: 155138 | - | 0 | 0 | - | Unknown |
| Winding Creek Advisors LLC CRD: 299600 | - | 0 | 0 | - | Unknown |
| Winding Trail Financial Planning, LLC CRD: 289035 | - | 0 | 1 | - | Unknown |
| Windjammer Capital Investors CRD: 160396 | - | 0 | 1 | - | Unknown |
| Windle Wealth CRD: 285653 | - | 0 | 1 | - | Unknown |
| Windlesheim Management, LLC CRD: 292474 | - | 0 | 0 | - | Unknown |
| Windmark Investment Partners, Inc. CRD: 131880 | - | 0 | 2 | - | Unknown |
| Windmill Capital Adviser CRD: 306699 | - | 0 | 1 | - | Unknown |
| Windmill Capital LLC CRD: 164063 | - | 0 | 1 | - | Unknown |
| Windmiller CRD: 331822 | - | 0 | 2 | - | Unknown |
| Windmills Capital Inc. CRD: 149805 | - | 0 | 3 | - | Unknown |
| Windmuehle, LLC CRD: 295685 | - | 0 | 0 | - | Unknown |
| Window Rock Capital Partners LLC CRD: 269952 | - | 0 | 0 | - | Unknown |
| Windproof Partners LLC CRD: 336426 | - | 0 | 1 | - | Unknown |
| Windrock Wealth Management CRD: 166124 | - | 0 | 3 | - | Unknown |
| Windrose Advisors LLC CRD: 152145 | - | 0 | 3 | - | Unknown |
| Windrose Health Investors, LLC CRD: 160311 | - | 0 | 1 | - | Unknown |
| Windrose Retirement Income Planners, Inc. CRD: 123297 | - | 0 | 0 | - | Unknown |
| Windsail Capital Group, LLC CRD: 165352 | - | 0 | 0 | - | Unknown |
| Windshear Management Inc. CRD: 339256 | - | 0 | 1 | - | Unknown |
| Windsor Advisory Group, LLC CRD: 122266 | - | 0 | 2 | - | Unknown |
| Windsor Bennett Capital Group Corp. CRD: 56 | - | 0 | 0 | A | INACTIVE |
| Windsor Capital Advisors, LLC CRD: 47317 | - | 2 | 0 | B | INACTIVE |