Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| ADVISORY SOLUTIONS USA, LLC CRD: 281773 | — | 0 | 0 | A | Unknown |
| ADVOCATE WEALTH ADVISORS CRD: 311367 | — | 0 | 0 | A | Unknown |
| ADVOCATE WEALTH, LLC CRD: 330165 | — | 0 | 0 | A | Unknown |
| ADVOCATES WEALTH PLANNING CRD: 138612 | — | 0 | 0 | A | Unknown |
| ADVOWEALTH ADVISORS, LLC CRD: 140034 | — | 0 | 0 | A | Unknown |
| ADVUE CAPITAL CRD: 300061 | — | 0 | 0 | A | Unknown |
| AE ADVISORS CRD: 316043 | — | 0 | 0 | A | Unknown |
| AE HANSEN LLC CRD: 282579 | — | 0 | 0 | A | Unknown |
| AE PARTNERS L.L.C. CRD: 44752 | — | 0 | 0 | A | INACTIVE |
| AEA QP ADVISERS LLC CRD: 124560 | — | 0 | 0 | A | Unknown |
| AEA SECURITIES INC. CRD: 11114 | — | 0 | 0 | A | INACTIVE |
| AEB CAPITAL CRD: 159488 | — | 0 | 0 | A | Unknown |
| AEB CORPORATION CRD: 28591 | — | 2 | 0 | F | INACTIVE |
| AEC HOLDINGS, L.P. CRD: 288791 | — | 0 | 0 | A | Unknown |
| AECH FINANCIAL CRD: 336460 | — | 0 | 0 | A | Unknown |
| AEG CAPITAL, LLC CRD: 168097 | IL | 0 | 1 | A | Active |
| AEGIS ASSET MANAGEMENT INC CRD: 111413 | — | 0 | 0 | A | Unknown |
| AEGIS ASSET MANAGEMENT, INC. CRD: 305008 | — | 0 | 0 | A | Unknown |
| AEGIS CAPITAL CORP. CRD: 15007 | NY | 42 | 1 | F | Active |
| AEGIS CAPITAL GROUP CRD: 336467 | — | 0 | 0 | A | Unknown |
| AEGIS ENERGY ADVISORS CORP. CRD: 38500 | — | 0 | 0 | A | INACTIVE |
| AEGIS FINANCIAL CRD: 305030 | — | 0 | 0 | A | Unknown |
| AEGIS FINANCIAL ADVISORY CRD: 137602 | — | 0 | 0 | A | Unknown |
| AEGIS INVESTMENTS, INC. CRD: 16033 | MN | 2 | 1 | F | Active |
| AEGIS WEALTH CRD: 134429 | — | 0 | 0 | A | Unknown |
| AEGIS WEALTH ADVISORS. LLC CRD: 136815 | — | 0 | 0 | A | Unknown |
| AEGIS WEALTH MANAGEMENT, INC. CRD: 301990 | — | 0 | 0 | A | Unknown |
| AEGON ASSET MANAGEMENT US CRD: 114537 | — | 0 | 0 | A | Unknown |
| AEGON REAL ASSETS US CRD: 286438 | — | 0 | 0 | A | Unknown |
| AEGON USA SECURITIES INC. CRD: 13302 | — | 0 | 0 | A | INACTIVE |
| AEI SECURITIES, INC. CRD: 6158 | MN | 4 | 1 | F | Active |
| AEM ASSET MANAGEMENT, LLC CRD: 310360 | — | 0 | 0 | A | Unknown |
| AENIGMA ADVISORS LLC CRD: 162802 | — | 0 | 0 | A | INACTIVE |
| AEOM INVESTMENTS, LLC CRD: 331496 | — | 0 | 0 | A | Unknown |
| AEON ADVISORS CRD: 173786 | — | 0 | 0 | A | Unknown |
| AEON INVESTMENT, INC. CRD: 10282 | — | 0 | 0 | A | INACTIVE |
| AEON INVESTMENTS CRD: 340007 | — | 0 | 0 | A | Unknown |
| AER INVESTMENTS INC CRD: 11822 | — | 0 | 0 | A | INACTIVE |
| AERDEN LLC CRD: 339595 | — | 0 | 0 | A | Unknown |
| AEREF MANAGEMENT, LLC CRD: 322495 | — | 0 | 0 | A | Unknown |
| AERIE ADVISORY GROUP LLC CRD: 333610 | — | 0 | 0 | A | Unknown |
| AERIE VIEW LLC CRD: 173679 | — | 0 | 0 | A | Unknown |
| AERIS PARTNERS LLC CRD: 153862 | MA | 0 | 1 | A | Active |
| AERODIGM WEALTH LLC CRD: 282312 | — | 0 | 0 | A | Unknown |
| AESION LLC CRD: 282375 | — | 0 | 0 | A | Unknown |
| AESOP ADVISOR, LLC CRD: 301160 | — | 0 | 0 | A | Unknown |
| AESTUS CAPITAL CRD: 321068 | — | 0 | 0 | A | Unknown |
| AETAS ADVISORS, LLC CRD: 151575 | — | 0 | 0 | A | Unknown |
| AETERNUM ADVISORS CRD: 285331 | — | 0 | 0 | A | Unknown |
| AETHLON CAPITAL, L.L.C CRD: 42241 | MN | 1 | 1 | F | Active |