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 |
|---|---|---|---|---|---|
| Yocum Wealth CRD: 342828 | - | 0 | 1 | - | Unknown |
| Yoder Wealth Management CRD: 291826 | - | 0 | 3 | - | Unknown |
| Yoffe Investment Management, LLC CRD: 173454 | - | 0 | 1 | - | Unknown |
| Yogi Advisors, LLC CRD: 137886 | - | 0 | 0 | - | Unknown |
| Yokahu Management LLC CRD: 330452 | - | 0 | 1 | - | Unknown |
| Yolo Financial, LLC CRD: 168038 | - | 0 | 0 | - | Unknown |
| Yolo Management LLC CRD: 321815 | - | 0 | 1 | - | Unknown |
| YON Drake & Associates Inc CRD: 111491 | - | 0 | 1 | - | Unknown |
| YON-Drake & Associates, Inc. CRD: 22365 | - | 0 | 0 | A | INACTIVE |
| Yongchang Company Inc CRD: 304736 | - | 0 | 2 | - | Unknown |
| York Avenue LLC CRD: 298945 | - | 0 | 0 | - | Unknown |
| York Capital Management CRD: 140336 | - | 0 | 1 | - | Unknown |
| York Capital Management, LLC CRD: 112586 | - | 0 | 0 | - | Unknown |
| York Energy Investment Corporation CRD: 31134 | - | 0 | 0 | A | INACTIVE |
| York Group, Inc. CRD: 16656 | - | 0 | 0 | A | INACTIVE |
| York Investments Holdings, LLC CRD: 304832 | - | 0 | 1 | - | Unknown |
| York Management & Research, LLC CRD: 162599 | - | 0 | 0 | - | Unknown |
| York Registered Holdings, L.P. CRD: 165783 | - | 0 | 0 | - | Unknown |
| York Securities, Inc. CRD: 8056 | NY | 8 | 3 | C | Active |
| York Stockbrokers, Inc. CRD: 102740 | NY | 1 | 2 | B | Active |
| York Street Capital Partners CRD: 160985 | - | 0 | 0 | - | Unknown |
| York Wealth Management, LLC CRD: 331730 | - | 0 | 1 | - | Unknown |
| York World Wide Investments, Inc. CRD: 15494 | - | 0 | 0 | A | INACTIVE |
| Yorkbridge Wealth Partners, LLC CRD: 283949 | - | 0 | 0 | - | Unknown |
| Yorkmont Capital Management, LLC CRD: 164599 | - | 0 | 1 | - | Unknown |
| Yorktown Distributors, Inc. CRD: 16220 | - | 0 | 0 | A | INACTIVE |
| Yorktown Management and Research Co Inc CRD: 105083 | - | 0 | 2 | - | Unknown |
| Yorktown Partners LLC CRD: 162321 | - | 0 | 1 | - | Unknown |
| Yorkville Advisors Global, LP CRD: 165390 | - | 0 | 1 | - | Unknown |
| Yorkville America Equities, LLC CRD: 336431 | - | 0 | 1 | - | Unknown |
| Yorkville Capital Management LLC CRD: 141333 | - | 0 | 2 | - | Unknown |
| Yorkville Management Co. CRD: 137802 | - | 0 | 0 | - | Unknown |
| Yorkville Securities, LLC CRD: 330480 | NJ | 0 | 7 | A | Active |
| Yosemite Asset Management, LLC CRD: 139452 | - | 0 | 0 | - | Unknown |
| Yosemite Capital Management CRD: 124298 | - | 0 | 2 | - | Unknown |
| Yosemite Execution Partners Inc. CRD: 165587 | CA | 1 | 2 | B | Active |
| Yosemite Management, LLC CRD: 326764 | - | 0 | 1 | - | Unknown |
| Yosemite Wealth CRD: 322900 | - | 0 | 1 | - | Unknown |
| Yoshi Advisory CRD: 339574 | - | 0 | 1 | - | Unknown |
| Yoshida Wealth Management, Inc. CRD: 305049 | - | 0 | 1 | - | Unknown |
| Yost Capital Management, LP CRD: 153082 | - | 0 | 2 | - | Unknown |
| Yotta RIA, LLC CRD: 320784 | - | 0 | 0 | - | Unknown |
| YOU First Financial LLC CRD: 292984 | - | 0 | 2 | - | Unknown |
| YOU Investment Management LLC CRD: 341891 | - | 0 | 1 | - | Unknown |
| YOU Tree, LLC CRD: 312122 | - | 0 | 0 | - | Unknown |
| Youhe Advisors LLC CRD: 289259 | - | 0 | 1 | - | Unknown |
| Young & Partners LLC CRD: 40702 | NY | 0 | 2 | A | Active |
| Young & Scrappy CRD: 306508 | - | 0 | 0 | - | Unknown |
| Young & Taylor Securities, Inc. CRD: 36265 | - | 0 | 0 | A | INACTIVE |
| Young America Capital, LLC CRD: 150443 | NY | 1 | 2 | B | Active |