Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| TCG Capital Markets L.L.C. CRD: 291767 | NY | 0 | 6 | A | Active |
| TD Arranged Services LLC CRD: 122529 | NY | 13 | 1 | D | Active |
| TD Prime Services LLC CRD: 1914 | NY | 11 | 3 | C | Active |
| TD Private Client Wealth LLC CRD: 164484 | NY | 3 | 286 | B | Active |
| TD Securities (USA) LLC CRD: 18476 | NY | 22 | 19 | D | Active |
| Telsey Advisory Group LLC CRD: 148234 | NY | 0 | 5 | A | Active |
| Templum Markets LLC CRD: 102840 | NY | 0 | 2 | A | Active |
| Teneo Securities LLC CRD: 151256 | NY | 1 | 2 | B | Active |
| Terranova Capital Equities, Inc CRD: 45097 | NY | 4 | 2 | B | Active |
| Texture Capital, Inc. CRD: 300853 | NY | 0 | 2 | A | Active |
| Thales Capital Partners LLC CRD: 172125 | NY | 0 | 2 | A | Active |
| THE Benchmark Company, LLC CRD: 22982 | NY | 19 | 6 | C | Active |
| THE Gladowsky Group CRD: 45287 | NY | 1 | 3 | B | Active |
| THE Growth Stage Inc. CRD: 306193 | NY | 0 | 2 | A | Active |
| THE Klein Group, LLC CRD: 46472 | NY | 0 | 2 | A | Active |
| THE Rockwell Financial Group, Inc. CRD: 26153 | NY | 3 | 3 | B | Active |
| THE Ultima Global Markets (USA), Inc. CRD: 47895 | NY | 1 | 2 | B | Active |
| Thinkequity LLC CRD: 20996 | NY | 10 | 4 | C | Active |
| Threadmark LP CRD: 173318 | NY | 0 | 3 | A | Active |
| Three Ocean Securities LLC CRD: 166387 | NY | 0 | 2 | A | Active |
| Tiaa-Cref Individual & Institutional Services, LLC CRD: 20472 | NY | 12 | 1,831 | B | Active |
| Tigerbridge Capital CRD: 293066 | NY | 0 | 2 | A | Active |
| Tigress Financial Partners, LLC CRD: 154717 | NY | 3 | 6 | B | Active |
| Time Equities Securities LLC CRD: 114422 | NY | 1 | 2 | B | Active |
| Timecapital Securities Corporation CRD: 6845 | NY | 3 | 2 | B | Active |
| Titan Global Technologies LLC CRD: 312379 | NY | 0 | 2 | A | Active |
| Titan Partners Securities LLC CRD: 333575 | NY | 0 | 3 | A | Active |
| TMX Alpha US, LLC CRD: 329008 | NY | 0 | 2 | A | Active |
| Tocqueville Securities L.P. CRD: 26001 | NY | 4 | 3 | B | Active |
| Topcap Partners, Inc. CRD: 283457 | NY | 0 | 2 | A | Active |
| Tora Trading Services, LLC CRD: 135423 | NY | 0 | 3 | A | Active |
| Tornado CRD: 269966 | NY | 0 | 2 | A | Active |
| Toss Securities US LLC CRD: 333338 | NY | 0 | 2 | A | Active |
| Towerbrook Financial, L.P. CRD: 155535 | NY | 0 | 2 | A | Active |
| TP Icap Global Markets Americas LLC CRD: 2762 | NY | 33 | 7 | D | Active |
| Trademas Inc. CRD: 130030 | NY | 7 | 3 | C | Active |
| Tradesk Securities, Inc. CRD: 321643 | NY | 0 | 2 | A | Active |
| Tradeup Securities, Inc. CRD: 18483 | NY | 4 | 5 | B | Active |
| Tradeweb Direct LLC CRD: 103787 | NY | 2 | 4 | B | Active |
| Tradeweb LLC CRD: 42759 | NY | 0 | 3 | A | Active |
| Tradezero America, Inc. CRD: 282940 | NY | 5 | 2 | C | Active |
| Tradition Securities and Derivatives LLC CRD: 28269 | NY | 32 | 7 | D | Active |
| Transamerica Investors Securities, LLC CRD: 32205 | NY | 1 | 27 | B | Active |
| Transnational Capital Corp. CRD: 135306 | NY | 0 | 3 | A | Active |
| Triad Securities Corp CRD: 11363 | NY | 2 | 2 | B | Active |
| Trident Partners Ltd. CRD: 41258 | NY | 9 | 4 | B | Active |
| Triple P Securities, LLC CRD: 323197 | NY | 0 | 7 | A | Active |
| Tritaurian Capital, Incorporated CRD: 45500 | NY | 0 | 2 | A | Active |
| Trive NEW York LLC CRD: 21946 | NY | 1 | 2 | B | Active |
| Trubee Wealth Advisors, Inc. CRD: 3618 | NY | 7 | 3 | C | Active |