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.
A 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| First Omega, LLC CRD: 306373 | NY | 0 | 2 | A | Active |
| First Options of Chicago, Inc. CRD: 13822 | — | 48 | 0 | F | INACTIVE |
| First Oregon, LLC CRD: 329577 | — | 0 | 0 | A | Unknown |
| First Pacific Financial, Inc. CRD: 284736 | — | 0 | 11 | A | Unknown |
| First Pitch Planning and TAX LLC CRD: 309028 | — | 0 | 1 | A | Unknown |
| First Principle Funds CRD: 334032 | — | 0 | 0 | A | Unknown |
| First Quadrant, LLC CRD: 106698 | — | 0 | 0 | A | Unknown |
| First Quant Capital Management, LLC CRD: 305566 | — | 0 | 0 | A | Unknown |
| First Research Financial CRD: 27915 | — | 3 | 0 | C | INACTIVE |
| First Reserve CRD: 157056 | — | 0 | 1 | A | Unknown |
| First SAN Francisco Securities CRD: 18497 | — | 0 | 0 | A | INACTIVE |
| First Savings Securities, Inc. CRD: 15138 | — | 0 | 0 | A | INACTIVE |
| First Saxonia Securities, Inc. CRD: 29245 | — | 1 | 0 | B | INACTIVE |
| First Securities USA, Inc. CRD: 39986 | — | 8 | 0 | D | INACTIVE |
| First Security Fund Advisers, Inc. CRD: 179538 | — | 0 | 0 | A | Unknown |
| First Shelburne Financial Corp. CRD: 14956 | — | 0 | 0 | A | INACTIVE |
| First Sovereign Securities CRD: 39147 | — | 1 | 0 | B | INACTIVE |
| First State Financial Services CRD: 144706 | — | 0 | 0 | A | Unknown |
| First State Financial, Inc. CRD: 6108 | — | 0 | 0 | A | INACTIVE |
| First State Securities, Inc. CRD: 16329 | — | 1 | 0 | B | INACTIVE |
| First Step Financial CRD: 338541 | — | 0 | 1 | A | Unknown |
| First Strata Corporation CRD: 15610 | — | 0 | 0 | A | INACTIVE |
| First Street Securities Corp. CRD: 14221 | — | 0 | 0 | A | INACTIVE |
| First Summit Securities, Inc. CRD: 39033 | — | 1 | 0 | B | INACTIVE |
| First Texas Group, Inc. CRD: 14336 | — | 0 | 0 | A | INACTIVE |
| First There Financial Planning CRD: 311100 | — | 0 | 0 | A | Unknown |
| First Things First Financial Planning CRD: 305640 | — | 0 | 0 | A | Unknown |
| First Titan Financial Corp. CRD: 39657 | — | 4 | 0 | C | INACTIVE |
| First Trust Portfolios L.P. CRD: 28519 | IL | 4 | 5 | C | Active |
| First Union Placements, Inc. CRD: 11754 | — | 0 | 0 | A | INACTIVE |
| First Union Securities Inc CRD: 15001 | — | 0 | 0 | A | INACTIVE |
| First Union Securities, Inc. CRD: 129502 | — | 6 | 0 | D | INACTIVE |
| First United Fund,Ltd. CRD: 14426 | — | 0 | 0 | A | INACTIVE |
| First USA Capital Markets, Inc. CRD: 10742 | — | 0 | 0 | A | INACTIVE |
| First Wall Street Corp. CRD: 13024 | — | 10 | 0 | D | INACTIVE |
| First Wall Street Securities of NEW York Inc. CRD: 34987 | — | 0 | 0 | A | INACTIVE |
| First Wall Street Securities of NEW York, Inc. CRD: 18304 | — | 0 | 0 | A | INACTIVE |
| First Wealth Advisory, Inc. CRD: 323649 | — | 0 | 1 | A | Unknown |
| First-in Financial CRD: 290128 | — | 0 | 0 | A | Unknown |
| First-MED Investment Corp. CRD: 27874 | — | 0 | 0 | A | INACTIVE |
| Firstenergy Capital (USA) Corp. CRD: 37665 | — | 0 | 0 | A | INACTIVE |
| Firstgen Wealth CRD: 319368 | — | 0 | 1 | A | Unknown |
| Firstline Financial LLC CRD: 308056 | — | 0 | 1 | A | Unknown |
| Firstmetric CRD: 289483 | — | 0 | 1 | A | Unknown |
| Firstpoint Financial, LLC CRD: 175252 | — | 0 | 0 | A | Unknown |
| Firstrock Advisory CRD: 288884 | — | 0 | 0 | A | Unknown |
| Firstrust CRD: 111800 | — | 0 | 6 | A | Unknown |
| Firstrust Financial Advisors CRD: 131620 | — | 0 | 1 | A | Unknown |
| Firstten Financial CRD: 338807 | — | 0 | 1 | A | Unknown |
| Firstwave Financial CRD: 111044 | — | 0 | 0 | A | Unknown |