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 |
|---|---|---|---|---|---|
| Yangqianguan Stock CRD: 284426 | - | 0 | 0 | - | Unknown |
| Yankee Advisers, LLC CRD: 162608 | - | 0 | 1 | - | Unknown |
| Yankee Financial Group, Inc. CRD: 17966 | - | 6 | 0 | C | INACTIVE |
| Yankee Investor, LLC CRD: 289421 | - | 0 | 1 | - | Unknown |
| Yanni & Associates Investment Advisors, LLC CRD: 142913 | - | 0 | 1 | - | Unknown |
| Yaodi HU & Company Inc. CRD: 42222 | - | 1 | 0 | B | INACTIVE |
| Yaping SUN CRD: 293599 | - | 0 | 0 | - | Unknown |
| Yarash Global Solutions Inc. CRD: 335185 | - | 0 | 1 | - | Unknown |
| Yarboro & Company CRD: 14698 | - | 0 | 0 | A | INACTIVE |
| Yarborough Asset Management Strategies CRD: 290137 | - | 0 | 1 | - | Unknown |
| Yarbrough Financial Services, LLC CRD: 290682 | - | 0 | 0 | - | Unknown |
| Yardley Investors Associates CRD: 8212 | - | 0 | 0 | A | INACTIVE |
| Yardley Limited CRD: 13469 | - | 0 | 0 | A | INACTIVE |
| Yardley Wealth Management LLC CRD: 134311 | - | 0 | 1 | - | Unknown |
| Yarger Wealth Strategies, LLC CRD: 310207 | - | 0 | 1 | - | Unknown |
| Yarlun Capital PTE Ltd CRD: 162240 | - | 0 | 0 | - | Unknown |
| Yarmouth Brokerage Company CRD: 13474 | - | 0 | 0 | A | INACTIVE |
| Yarnway Wealth Management CRD: 322117 | - | 0 | 0 | - | Unknown |
| Yarra Square Partners LP CRD: 304105 | - | 0 | 0 | - | Unknown |
| Yarrington Management Company CRD: 111994 | - | 0 | 2 | - | Unknown |
| Yates Financial Group Inc. CRD: 130554 | - | 0 | 0 | - | Unknown |
| Yates Financial Planning, LLC CRD: 316114 | - | 0 | 0 | - | Unknown |
| Yates Securities Corporation CRD: 13824 | - | 0 | 0 | A | INACTIVE |
| Yates, Downer, Dyer & Kirkpatrick, Inc. CRD: 3813 | - | 0 | 0 | A | INACTIVE |
| Yaupon Capital Management LP CRD: 298556 | - | 0 | 2 | - | Unknown |
| Yavapai Financial Planning, L.L.C. CRD: 115912 | - | 0 | 1 | - | Unknown |
| Yavitt, Keith E. CRD: 104278 | - | 0 | 0 | A | INACTIVE |
| Yayati Asset Management, LLC CRD: 324099 | - | 0 | 2 | - | Unknown |
| YAZAM.COM Capital Corp. CRD: 104152 | - | 0 | 0 | A | INACTIVE |
| Yazdanyar, Mehrnoush CRD: 167301 | - | 0 | 1 | - | Unknown |
| YBR Wealth Advisors, LLC CRD: 284095 | - | 0 | 0 | - | Unknown |
| Ycap Asset Management CRD: 287738 | - | 0 | 0 | - | Unknown |
| YCG, LLC CRD: 145769 | - | 0 | 1 | - | Unknown |
| YCM Investments CRD: 170854 | - | 0 | 0 | - | Unknown |
| YCT Management LLC CRD: 312317 | - | 0 | 0 | - | Unknown |
| Ydream Financial Services, Inc. CRD: 128995 | - | 0 | 1 | - | Unknown |
| Yeager Financial Group CRD: 297927 | - | 0 | 0 | - | Unknown |
| Year Zero Ventures Group LLC CRD: 341147 | - | 0 | 1 | - | Unknown |
| Yearwood Financial CRD: 342547 | - | 0 | 1 | - | Unknown |
| Yearwood Young Advisors CRD: 307719 | - | 0 | 1 | - | Unknown |
| Yedid Capital Management, LLC CRD: 168160 | - | 0 | 0 | - | Unknown |
| Yegen Financial Group, Ltd CRD: 121580 | - | 0 | 1 | - | Unknown |
| Yeisley Wealth Solutions, Inc. CRD: 151018 | - | 0 | 1 | - | Unknown |
| YEL Capital Management Corp. CRD: 307122 | - | 0 | 0 | - | Unknown |
| Yellow Cardinal Corporate Finance, LLC CRD: 135111 | OH | 1 | 6 | B | Active |
| Yellow DOG Financial, Inc. CRD: 148307 | - | 0 | 1 | - | Unknown |
| Yellow Mountain Capital, LLC CRD: 286456 | - | 0 | 1 | - | Unknown |
| Yellow OAK Financial Planning, LLC CRD: 338146 | - | 0 | 1 | - | Unknown |
| Yellow Rocks CRD: 328622 | - | 0 | 0 | - | Unknown |
| Yellow Wood Partners CRD: 161062 | - | 0 | 1 | - | Unknown |