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 |
|---|---|---|---|---|---|
| Wingo Asset Management, LLC CRD: 306099 | - | 0 | 1 | - | Unknown |
| Wingroup Financial, LLC CRD: 290997 | - | 0 | 0 | - | Unknown |
| Wings Financial Inc. CRD: 18896 | - | 0 | 0 | A | INACTIVE |
| Wingspan Advisors. LLC CRD: 340075 | - | 0 | 1 | - | Unknown |
| Wingspan Capital, LLC CRD: 307759 | - | 0 | 1 | - | Unknown |
| Wingspan Investment Services CRD: 17516 | - | 5 | 0 | C | INACTIVE |
| Wingstem Wealth, LLC CRD: 322337 | - | 0 | 3 | - | Unknown |
| Winick Securities L.L.C. CRD: 126962 | - | 0 | 0 | A | INACTIVE |
| Winiecki Wealth Management CRD: 156007 | - | 0 | 1 | - | Unknown |
| Winlo Management Group, LLC CRD: 288383 | TX | 0 | 2 | A | Active |
| Winn Capital Management, LLC CRD: 226641 | - | 0 | 0 | - | Unknown |
| Winn Securities, Inc. CRD: 11101 | - | 0 | 0 | A | INACTIVE |
| Winner Wealth Management CRD: 287582 | - | 0 | 1 | - | Unknown |
| Winning Points Advisors, L.L.C. CRD: 118077 | - | 0 | 2 | - | Unknown |
| Winning Streak Ventures GP LLC CRD: 310573 | - | 0 | 0 | - | Unknown |
| Winning the Money Game, LLC CRD: 149578 | - | 0 | 0 | - | Unknown |
| Winnow Wealth, LLC CRD: 317181 | - | 0 | 2 | - | Unknown |
| Winona Capital Management, LLC CRD: 162882 | - | 0 | 1 | - | Unknown |
| Wins Investment Management USA, LLC CRD: 306015 | - | 0 | 0 | - | Unknown |
| Winship Wealth Partners CRD: 127409 | - | 0 | 2 | - | Unknown |
| Winshore Capital Partners LP CRD: 300347 | - | 0 | 1 | - | Unknown |
| Winslow Asset Group, LLC CRD: 292557 | - | 0 | 1 | - | Unknown |
| Winslow Asset Management Inc CRD: 106337 | - | 0 | 5 | - | Unknown |
| Winslow Capital Management L.L.C. CRD: 125119 | - | 0 | 0 | A | INACTIVE |
| Winslow Drake, Inc. CRD: 286638 | - | 0 | 2 | - | Unknown |
| Winslow Financial LLC CRD: 135866 | - | 0 | 5 | - | Unknown |
| Winslow Group, LLC CRD: 126946 | - | 0 | 0 | - | Unknown |
| Winslow Investment Company CRD: 10158 | - | 0 | 0 | A | INACTIVE |
| Winslow Wealth Management LLC CRD: 166196 | - | 0 | 0 | - | Unknown |
| Winslow, Evans & Crocker, Inc. CRD: 29686 | - | 4 | 0 | C | INACTIVE |
| Winston & Company, Inc. CRD: 141514 | - | 0 | 1 | - | Unknown |
| Winston Advisors, LLC CRD: 43008 | - | 0 | 0 | A | INACTIVE |
| Winston Rodgers & Otalvaro, Inc. CRD: 30970 | - | 0 | 0 | A | INACTIVE |
| Winston Securities, Inc. CRD: 34560 | - | 0 | 0 | A | INACTIVE |
| Winston Solidus CRD: 341577 | - | 0 | 1 | - | Unknown |
| Winston Wealth Strategies, LLC CRD: 332891 | - | 0 | 1 | - | Unknown |
| Winston-Frost Securities, Inc. CRD: 19009 | - | 0 | 0 | A | INACTIVE |
| Winter & Associates, Inc. CRD: 310349 | - | 0 | 1 | - | Unknown |
| Winter Advisors, Inc. CRD: 143913 | - | 0 | 0 | A | INACTIVE |
| Winter Capital, LLC CRD: 299890 | - | 0 | 1 | - | Unknown |
| Winter Harbor Advisors, L.L.C. CRD: 139074 | - | 0 | 1 | - | Unknown |
| Winter Park Securities, Inc. CRD: 35602 | - | 1 | 0 | B | INACTIVE |
| Winterbird Partners LLC CRD: 337543 | - | 0 | 0 | - | Unknown |
| Winterflood Securities US Corporation CRD: 299110 | NY | 0 | 2 | A | Active |
| Wintergreen Advisers, LLC CRD: 135601 | - | 0 | 0 | - | Unknown |
| Winters & Co. Advisors, LLC CRD: 130999 | - | 0 | 2 | - | Unknown |
| Winters Financial Group, Inc. CRD: 309549 | - | 0 | 4 | - | Unknown |
| Winterset Investments, LLC CRD: 164789 | - | 0 | 0 | - | Unknown |
| Winterstone Wealth Management LLC CRD: 294423 | - | 0 | 0 | - | Unknown |
| Winterstone Wealth Management LLC CRD: 323726 | - | 0 | 0 | - | Unknown |