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 |
|---|---|---|---|---|---|
| Windsor Capital Incorporated CRD: 13444 | - | 0 | 0 | A | INACTIVE |
| Windsor Capital Markets Corp. CRD: 13427 | - | 0 | 0 | A | INACTIVE |
| Windsor Creek Advisors, LLC CRD: 296933 | - | 0 | 0 | - | Unknown |
| Windsor Equity Corporation CRD: 13093 | - | 0 | 0 | A | INACTIVE |
| Windsor Executions, Inc. CRD: 137630 | - | 0 | 0 | A | INACTIVE |
| Windsor Financial Group LLC CRD: 107462 | - | 0 | 0 | - | Unknown |
| Windsor Group Securities CRD: 16552 | - | 0 | 0 | A | INACTIVE |
| Windsor Group, LLC CRD: 126259 | - | 0 | 0 | A | INACTIVE |
| Windsor Heritage Capital CRD: 339038 | - | 0 | 1 | - | Unknown |
| Windsor IBC, Inc. CRD: 19539 | - | 2 | 0 | B | INACTIVE |
| Windsor Reynolds Securities, Inc. CRD: 6456 | - | 0 | 0 | A | INACTIVE |
| Windsor Securities, Inc. CRD: 6415 | - | 0 | 0 | A | INACTIVE |
| Windsor Securities, LLC CRD: 164777 | - | 0 | 0 | - | Unknown |
| Windsor Street Capital, LP CRD: 34171 | - | 52 | 0 | F | INACTIVE |
| Windsor Wealth Management, Inc. CRD: 105279 | - | 0 | 0 | - | Unknown |
| Windsor Wealth Management, LLC CRD: 317350 | - | 0 | 0 | - | Unknown |
| Windward Asset Management LLC CRD: 159009 | - | 0 | 0 | - | Unknown |
| Windward Capital Inc. CRD: 142245 | - | 0 | 0 | A | INACTIVE |
| Windward Capital Management Co CRD: 106908 | - | 0 | 3 | - | Unknown |
| Windward Capital Management LLC CRD: 168763 | - | 0 | 0 | - | Unknown |
| Windward Management LP CRD: 316224 | - | 0 | 1 | - | Unknown |
| Windward Partners, L.L.C. CRD: 135698 | - | 0 | 1 | - | Unknown |
| Windward Private Wealth Management Inc. CRD: 113761 | - | 0 | 10 | - | Unknown |
| Windward Wealth Strategies, Inc. CRD: 175126 | - | 0 | 1 | - | Unknown |
| Windy City Asset Management CRD: 178520 | - | 0 | 0 | - | Unknown |
| Windy Hill Ventures, Inc. CRD: 134504 | - | 0 | 2 | - | Unknown |
| Wine Country Wealth Management, LLC CRD: 153076 | - | 0 | 0 | - | Unknown |
| Wineadda LLC CRD: 315074 | - | 0 | 1 | - | Unknown |
| Wineberg Solheim Howell & Shain PC CRD: 123880 | - | 0 | 0 | - | Unknown |
| Winer Wealth Management, Inc. CRD: 128317 | - | 0 | 0 | - | Unknown |
| Winfall Financial CRD: 316784 | - | 0 | 0 | - | Unknown |
| Winfield Associates Inc CRD: 108969 | - | 0 | 0 | - | Unknown |
| Winfield Glen Advisors, LLC CRD: 126232 | - | 0 | 0 | - | Unknown |
| Winfield Wealth Management CRD: 175367 | - | 0 | 0 | - | Unknown |
| Winford Wealth, LLC CRD: 336168 | - | 0 | 0 | - | Unknown |
| Winforest Partners CRD: 329673 | - | 0 | 1 | - | Unknown |
| Wing CRD: 333826 | - | 0 | 1 | - | Unknown |
| Wing Financial Inc. CRD: 321886 | - | 0 | 0 | - | Unknown |
| Wing Venture Partners CRD: 168461 | - | 0 | 1 | - | Unknown |
| Wing Westport Fund Management, LLC CRD: 325667 | - | 0 | 0 | - | Unknown |
| Wingard Securities Co. CRD: 14270 | - | 0 | 0 | A | INACTIVE |
| Wingate Advisors, L.L.C. CRD: 157169 | - | 0 | 0 | - | Unknown |
| Wingate Capital Advisors LLC CRD: 168188 | - | 0 | 1 | - | Unknown |
| Wingate Capital Corporation CRD: 17820 | - | 0 | 0 | A | INACTIVE |
| Wingate Wealth Advisors, Inc. CRD: 105012 | - | 0 | 10 | - | Unknown |
| Winged FOX LLC CRD: 150321 | - | 0 | 0 | A | INACTIVE |
| Winged FOX, L.L.C. CRD: 46167 | - | 0 | 0 | A | INACTIVE |
| Winged Keel Securities, LLC CRD: 131135 | - | 0 | 0 | A | INACTIVE |
| Winged Wealth Management and Financial Planning CRD: 310668 | - | 0 | 1 | - | Unknown |
| Wingman Growth Partners CRD: 337355 | - | 0 | 0 | - | Unknown |