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 |
|---|---|---|---|---|---|
| A. Moore Capital Management, Inc. CRD: 111290 | - | 0 | 0 | A | INACTIVE |
| A. N. Culbertson & Company, Inc. CRD: 108341 | - | 0 | 3 | - | Unknown |
| A. Neff Associates LLC CRD: 170488 | - | 0 | 1 | - | Unknown |
| A. P. Securities, Inc. CRD: 27041 | NY | 0 | 3 | A | Active |
| A. Paul Hasek, CFA CRD: 118764 | - | 0 | 0 | - | Unknown |
| A. Puzio Securities, Inc. CRD: 10654 | - | 0 | 0 | A | INACTIVE |
| A. R. Baron & Co., Inc. CRD: 29285 | - | 0 | 0 | A | INACTIVE |
| A. R. Schmeidler & Co., Inc. CRD: 5845 | - | 4 | 2 | B | INACTIVE |
| A. Ringuette & Co. CRD: 126655 | - | 0 | 0 | - | Unknown |
| A. T. Brod & Co. Inc. CRD: 1319 | - | 0 | 0 | A | INACTIVE |
| A. to Z. Financial Consulting and Wealth Managemen… CRD: 172485 | - | 0 | 1 | - | Unknown |
| A. W. Zucker & Co. CRD: 6969 | - | 0 | 0 | A | INACTIVE |
| A. Walker & Co, LLC CRD: 327323 | - | 0 | 1 | - | Unknown |
| A. Ward Financial Planning LLC CRD: 292641 | - | 0 | 0 | - | Unknown |
| A. Webster Dougherty & Co., Incorporated CRD: 7136 | - | 0 | 0 | A | INACTIVE |
| A.B. Financial L.L.C. CRD: 37312 | - | 4 | 0 | C | INACTIVE |
| A.B. Ridgeway Wealth Management LLC CRD: 311286 | - | 0 | 1 | - | Unknown |
| A.B. Watley Direct, Inc. CRD: 18663 | - | 17 | 0 | F | INACTIVE |
| A.B. Watley, Inc. CRD: 797 | - | 15 | 0 | D | INACTIVE |
| A.BRIDGE Realvest Securities Corporation CRD: 40001 | NJ | 0 | 2 | A | Active |
| A.C. Joyce & Associates, Inc. CRD: 10381 | - | 0 | 0 | A | INACTIVE |
| A.C. Moore & Co. CRD: 13804 | - | 0 | 0 | A | INACTIVE |
| A.C. Voulgaris & Company CRD: 19754 | - | 0 | 0 | A | INACTIVE |
| A.C.M.L. Credit Limited CRD: 311546 | - | 0 | 0 | - | Unknown |
| A.C.R. Securities, Inc. CRD: 43645 | - | 1 | 0 | B | INACTIVE |
| A.C.T. Financial Services Inc CRD: 147938 | - | 0 | 0 | - | Unknown |
| A.C.T. Investments, Inc. CRD: 165829 | - | 0 | 0 | - | Unknown |
| A.CAPITAL Ventures CRD: 171174 | - | 0 | 1 | - | Unknown |
| A.D. Financial Planning CRD: 171981 | - | 0 | 0 | - | Unknown |
| A.D. Jack & Company CRD: 10103 | - | 0 | 0 | A | INACTIVE |
| A.E. Goslin Capital Management CRD: 159504 | - | 0 | 0 | - | Unknown |
| A.E. Laufer Financial Services, Inc. CRD: 141921 | - | 0 | 1 | - | Unknown |
| A.E.I. Financial Group CRD: 307099 | - | 0 | 3 | - | Unknown |
| A.G. Advisory Firm, LLC CRD: 337222 | - | 0 | 1 | - | Unknown |
| A.G. Bisset Associates, LLC CRD: 158945 | - | 0 | 0 | - | Unknown |
| A.G. Campbell Advisory, LLC CRD: 162150 | - | 0 | 1 | - | Unknown |
| A.G. Matthew & Company CRD: 22437 | - | 0 | 0 | A | INACTIVE |
| A.G. Morgan Financial Advisors, LLC CRD: 173292 | - | 0 | 1 | - | Unknown |
| A.G. Quintal Investment Company Inc. CRD: 3115 | MA | 1 | 2 | B | Active |
| A.G.P. / Alliance Global Partners CRD: 8361 | CT | 21 | 45 | C | Active |
| A.G.P. Asset Management LLC CRD: 339720 | - | 0 | 1 | - | Unknown |
| A.I. Securities Corporation CRD: 10696 | - | 0 | 0 | A | INACTIVE |
| A.I.M. Financial Group, Inc. CRD: 134393 | - | 0 | 2 | - | Unknown |
| A.J. Frank, CFP CRD: 112628 | - | 0 | 0 | - | Unknown |
| A.J. Goldsmith Company CRD: 13644 | - | 0 | 0 | A | INACTIVE |
| A.J. Hayden & Co. CRD: 15815 | - | 0 | 0 | A | INACTIVE |
| A.J. Michaels & Co., Ltd. CRD: 19883 | - | 0 | 0 | A | INACTIVE |
| A.J. Mulligan & Co. CRD: 15490 | - | 0 | 0 | A | INACTIVE |
| A.J. Pace & Co., Inc. CRD: 24228 | - | 1 | 0 | B | INACTIVE |
| A.J. Sloane & Company, LLC CRD: 47653 | - | 0 | 0 | A | INACTIVE |