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 |
|---|---|---|---|---|---|
| Yellowbrickroad Financial Advisors, LLC CRD: 134209 | - | 0 | 0 | - | Unknown |
| Yellowdog Capital Management, LLC CRD: 167552 | - | 0 | 0 | - | Unknown |
| Yellowstone Aviation Capital CRD: 334356 | - | 0 | 1 | - | Unknown |
| Yellowstone Capital Partners CRD: 324681 | - | 0 | 1 | - | Unknown |
| Yellowstone Investment Planners, Inc. CRD: 134387 | - | 0 | 2 | - | Unknown |
| Yellowstone Partners CRD: 137236 | - | 0 | 0 | - | Unknown |
| Yellowstone Wealth Advisors LLC CRD: 314726 | - | 0 | 1 | - | Unknown |
| Yellowwood Wealth Solutions, LLC CRD: 299111 | - | 0 | 0 | - | Unknown |
| YEN Capital Management LLC CRD: 158230 | - | 0 | 0 | - | Unknown |
| Yendrey Wealth Management LLC CRD: 298940 | - | 0 | 3 | - | Unknown |
| Yenom Capital GP LLC CRD: 315509 | - | 0 | 0 | - | Unknown |
| Yentis & Associates Inc CRD: 108866 | - | 0 | 0 | - | Unknown |
| Yerba Buena Wealth Advisors LLC CRD: 167703 | - | 0 | 0 | - | Unknown |
| Yerba Buena Wealth Advisors, LLC CRD: 226726 | - | 0 | 0 | - | Unknown |
| YES Life Financial CRD: 298020 | - | 0 | 3 | - | Unknown |
| YES VC Management Company, LLC CRD: 298042 | - | 0 | 1 | - | Unknown |
| YES Wealth Management CRD: 172591 | - | 0 | 2 | - | Unknown |
| Yeske Buie Inc. CRD: 143234 | - | 0 | 7 | - | Unknown |
| YET2Ventures Management, LLC CRD: 163962 | - | 0 | 0 | - | Unknown |
| Yeti Wealth Management Group, LLC CRD: 338425 | - | 0 | 1 | - | Unknown |
| YFP Wealth CRD: 282918 | - | 0 | 3 | - | Unknown |
| YG Partners, LLC CRD: 168677 | - | 0 | 0 | - | Unknown |
| YGC Wealth CRD: 330812 | - | 0 | 1 | - | Unknown |
| YH&C Investments Inc. CRD: 129823 | - | 0 | 3 | - | Unknown |
| YHB Investment Advisors Inc CRD: 105434 | - | 0 | 11 | - | Unknown |
| YHB Wealth Advisors, LLC CRD: 291713 | - | 0 | 0 | - | Unknown |
| Yield Advisory CRD: 152434 | - | 0 | 0 | - | Unknown |
| Yield Financial Advisors CRD: 162235 | - | 0 | 1 | - | Unknown |
| Yield Growth Advisors CRD: 328437 | - | 0 | 1 | - | Unknown |
| Yield Solutions SA CRD: 289266 | - | 0 | 0 | - | Unknown |
| Yield Wealth CRD: 173315 | - | 0 | 0 | - | Unknown |
| Yield Wealth Ltd. CRD: 329688 | - | 0 | 0 | - | Unknown |
| Yieldpoint CRD: 311859 | - | 0 | 1 | - | Unknown |
| Yieldquest Securities, LLC CRD: 135041 | - | 1 | 0 | B | INACTIVE |
| Yields for YOU, LLC CRD: 317662 | - | 0 | 1 | - | Unknown |
| Yieldsafe Investments CRD: 125677 | - | 0 | 0 | - | Unknown |
| Yieldwink Capital CRD: 336744 | - | 0 | 2 | - | Unknown |
| Yieldx Securities CRD: 304918 | - | 0 | 0 | A | INACTIVE |
| Yiheng Capital Management, L.P. CRD: 163812 | - | 0 | 1 | - | Unknown |
| Yilmaz, Bekir CRD: 312981 | - | 0 | 0 | - | Unknown |
| YIM Investment Management, LLC CRD: 136984 | - | 0 | 1 | - | Unknown |
| YIN Financial Planning CRD: 330087 | - | 0 | 1 | - | Unknown |
| YIU Advisors, LLC CRD: 342347 | - | 0 | 3 | - | Unknown |
| YK Bioventures CRD: 332081 | - | 0 | 1 | - | Unknown |
| YK Global Securities Limited CRD: 335900 | - | 0 | 1 | - | Unknown |
| YLP Financial, LLC CRD: 322357 | - | 0 | 1 | - | Unknown |
| YLR Management LLC CRD: 328555 | - | 0 | 1 | - | Unknown |
| YLV Management LLC CRD: 168740 | - | 0 | 1 | - | Unknown |
| YMS Endeavors LLC CRD: 286428 | - | 0 | 0 | - | Unknown |
| Yoakum Wealth Management CRD: 307916 | - | 0 | 1 | - | Unknown |