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 |
|---|---|---|---|---|---|
| Xpotential Inc. CRD: 152793 | - | 0 | 2 | - | Unknown |
| XPRT Trading Limited Partnership CRD: 32380 | - | 0 | 0 | A | INACTIVE |
| XPV Management LLC CRD: 322445 | - | 0 | 1 | - | Unknown |
| XPV Water Partners Inc. CRD: 165503 | - | 0 | 0 | - | Unknown |
| Xpyria Investment Advisors, Inc. CRD: 106438 | - | 0 | 0 | - | Unknown |
| XR Securities LLC CRD: 145357 | IL | 6 | 1 | D | Active |
| Xram Capital, LLC CRD: 291121 | - | 0 | 1 | - | Unknown |
| XRC Investment Advisors LLC CRD: 318074 | - | 0 | 1 | - | Unknown |
| XSG Corporate Finance, LLC CRD: 117008 | - | 0 | 0 | A | INACTIVE |
| Xshares Securities LLC CRD: 141534 | - | 0 | 0 | A | INACTIVE |
| Xstar Fund Management LLC CRD: 287601 | - | 0 | 1 | - | Unknown |
| XT Capital Partners, LLC CRD: 118719 | CT | 0 | 5 | A | Active |
| Xtal Ventures LLC CRD: 338722 | - | 0 | 0 | - | Unknown |
| Xtellus Advisors LLC CRD: 313437 | - | 0 | 0 | - | Unknown |
| Xtellus Capital Partners, Inc. CRD: 156048 | NY | 0 | 3 | A | Active |
| Xtent Financial Group, Inc. CRD: 7854 | - | 8 | 0 | D | INACTIVE |
| XTF Market Making LLC CRD: 104308 | - | 0 | 0 | A | INACTIVE |
| Xton Financial LLC CRD: 132847 | - | 0 | 0 | A | INACTIVE |
| XTX Execution Services LLC CRD: 309266 | NY | 0 | 2 | A | Active |
| XTX Markets LLC CRD: 289846 | NY | 0 | 2 | A | Active |
| Xueqiu Holdings Limited CRD: 291464 | - | 0 | 0 | - | Unknown |
| XVC CRD: 297889 | - | 0 | 0 | - | Unknown |
| Xwealth CRD: 335260 | - | 0 | 1 | - | Unknown |
| XXI Wealth, LLC CRD: 330796 | - | 0 | 2 | - | Unknown |
| XY Investments CRD: 306443 | - | 0 | 0 | - | Unknown |
| XY Wealth Advisors CRD: 282242 | - | 0 | 0 | - | Unknown |
| XYPN Invest CRD: 285967 | - | 0 | 52 | - | Unknown |
| XYZ Venture Capital CRD: 306233 | - | 0 | 1 | - | Unknown |
| Y Combinator CRD: 171730 | - | 0 | 1 | - | Unknown |
| Y Investments, LLC CRD: 338675 | - | 0 | 1 | - | Unknown |
| Y Retirement Planning CRD: 322733 | - | 0 | 0 | - | Unknown |
| Y Startup Index, LLC CRD: 319066 | - | 0 | 1 | - | Unknown |
| Y-Intercept (Hong Kong) Limited CRD: 299916 | - | 0 | 0 | - | Unknown |
| Y. Chang & Associates CRD: 127224 | - | 0 | 0 | - | Unknown |
| Y2 Capital Partners Limited CRD: 315256 | - | 0 | 0 | - | Unknown |
| Y2K Financial LLC CRD: 310585 | - | 0 | 1 | - | Unknown |
| Yackee Potempa & Smalley Asset Management CRD: 331073 | - | 0 | 2 | - | Unknown |
| Yacktman Asset Management LP CRD: 164420 | - | 0 | 1 | - | Unknown |
| Yaeger Securities, Inc. CRD: 10118 | - | 0 | 0 | A | INACTIVE |
| Yahara Wealth Management LLC CRD: 168325 | - | 0 | 1 | - | Unknown |
| Yaish Financial CRD: 269856 | - | 0 | 1 | - | Unknown |
| Yakira Capital Management, Inc. CRD: 159398 | - | 0 | 1 | - | Unknown |
| Yale Capital Corp. CRD: 126992 | - | 0 | 2 | - | Unknown |
| Yale Goldman Investment Company CRD: 4215 | - | 0 | 0 | A | INACTIVE |
| Yamaha Music Innovations CRD: 340639 | - | 0 | 1 | - | Unknown |
| Yamaichi International (America) Inc. CRD: 909 | - | 0 | 0 | A | INACTIVE |
| Yamatane Securities (America) Inc. CRD: 18347 | - | 0 | 0 | A | INACTIVE |
| Yamhill Capital LLC CRD: 315911 | - | 0 | 1 | - | Unknown |
| Yandell Investments, LLC CRD: 332642 | - | 0 | 1 | - | Unknown |
| Yang,Albert CRD: 327777 | - | 0 | 1 | - | Unknown |