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 |
|---|---|---|---|---|---|
| Zoic Capital GP IV LLC CRD: 328443 | - | 0 | 1 | - | Unknown |
| Zoic Capital GP Three LLC CRD: 321072 | - | 0 | 0 | - | Unknown |
| Zoic Capital GP TWO LLC CRD: 305468 | - | 0 | 1 | - | Unknown |
| Zoic Capital GP V LLC CRD: 329998 | - | 0 | 1 | - | Unknown |
| Zoic Capital LLC CRD: 305478 | - | 0 | 0 | - | Unknown |
| Zoic Capital Netting I LLC CRD: 313958 | - | 0 | 1 | - | Unknown |
| Zoic Capital Partners LLC CRD: 305466 | - | 0 | 1 | - | Unknown |
| Zoic Capital TWO LLC CRD: 305476 | - | 0 | 1 | - | Unknown |
| Zoic Capital, LLC CRD: 284845 | - | 0 | 1 | - | Unknown |
| Zolla Financial LLC CRD: 301233 | - | 0 | 0 | - | Unknown |
| Zolton Wealth CRD: 335714 | - | 0 | 1 | - | Unknown |
| ZOM Capital, Inc. CRD: 24227 | - | 0 | 0 | A | INACTIVE |
| Zone 2 Ventures LLC CRD: 340397 | - | 0 | 1 | - | Unknown |
| Zone Investment Management, LLC CRD: 314086 | - | 0 | 1 | - | Unknown |
| Zone Ventures CRD: 162458 | - | 0 | 0 | - | Unknown |
| Zonis Capital Management Group, LLC CRD: 168027 | - | 0 | 0 | - | Unknown |
| Zonka & Associates, Inc. CRD: 282914 | - | 0 | 1 | - | Unknown |
| ZOO Capital Advisory Ltd. CRD: 308019 | - | 0 | 0 | - | Unknown |
| ZOO Financial Group, LLC CRD: 133337 | - | 1 | 0 | B | INACTIVE |
| ZOO Trading LLC CRD: 167184 | - | 0 | 0 | A | INACTIVE |
| ZOR Capital, LLC CRD: 156830 | - | 0 | 5 | - | Unknown |
| Zora Financial CRD: 170544 | - | 0 | 2 | - | Unknown |
| Zora I.I. Ltd. CRD: 284312 | - | 0 | 0 | - | Unknown |
| Zorea Capital LP CRD: 331448 | - | 0 | 2 | - | Unknown |
| Zorion CRD: 327424 | - | 0 | 0 | - | Unknown |
| Zoso Capital, LLC CRD: 284531 | - | 0 | 0 | - | Unknown |
| ZOU Capital Management LLC CRD: 319375 | - | 0 | 1 | - | Unknown |
| Zouk Capital LLP CRD: 162937 | - | 0 | 0 | - | Unknown |
| Zovason Financial CRD: 285066 | - | 0 | 0 | - | Unknown |
| Zozotrade Inc CRD: 339009 | - | 0 | 1 | - | Unknown |
| ZPG Securities, L.L.C. CRD: 38916 | - | 0 | 0 | A | INACTIVE |
| ZPR Investment Management Inc CRD: 105587 | - | 0 | 0 | - | Unknown |
| Zquant Advisory, LLC CRD: 317368 | - | 0 | 1 | - | Unknown |
| Zrcor Inc. CRD: 147705 | - | 0 | 1 | - | Unknown |
| ZS Fund Advisers LLC CRD: 325494 | - | 0 | 1 | - | Unknown |
| ZS Securities, LLC CRD: 339111 | WA | 0 | 2 | A | Active |
| Zsenia Investments Inc. CRD: 314708 | - | 0 | 0 | - | Unknown |
| ZT Wealth Advisory CRD: 158972 | - | 0 | 0 | - | Unknown |
| Zuanic & Associates CRD: 327433 | - | 0 | 1 | - | Unknown |
| Zuckerman Capital Management, LLC CRD: 148549 | - | 0 | 1 | - | Unknown |
| Zuckerman Investment Group CRD: 137785 | - | 0 | 1 | - | Unknown |
| Zulauf Asset Management AG CRD: 110597 | - | 0 | 0 | - | Unknown |
| Zultan Capital CRD: 169983 | - | 0 | 0 | - | Unknown |
| Zulu Dreams Capital LLC CRD: 313960 | - | 0 | 1 | - | Unknown |
| Zuma Advisors LLC CRD: 305261 | - | 0 | 0 | - | Unknown |
| Zuma BAY Capital, LLC CRD: 158742 | - | 0 | 0 | - | Unknown |
| Zuma Capital Management, LLC CRD: 285162 | - | 0 | 1 | - | Unknown |
| Zuma Wealth LLC CRD: 311488 | - | 0 | 2 | - | Unknown |
| Zuna, LLC CRD: 306113 | - | 0 | 2 | - | Unknown |
| Zunic Advisory Services CRD: 130846 | - | 0 | 0 | - | Unknown |