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 |
|---|---|---|---|---|---|
| Trumid Financial LLC CRD: 172129 | NY | 0 | 2 | A | Active |
| TS Imagine Brokerage Services, LLC CRD: 146283 | NY | 0 | 2 | A | Active |
| TSG Capital Advisors CRD: 147509 | NY | 0 | 2 | A | Active |
| TTBD, LLC CRD: 327863 | NY | 0 | 2 | A | Active |
| Tuohy Brothers Investment Research, Inc. CRD: 133672 | NY | 0 | 2 | A | Active |
| TWO Sigma Execution Services, LLC CRD: 327341 | NY | 0 | 2 | A | Active |
| TWO Sigma Securities, LLC CRD: 148960 | NY | 18 | 25 | B | Active |
| U.S. Securities, Intl. Corp. CRD: 11238 | NY | 9 | 2 | C | Active |
| U.S. Sterling Securities, Inc. CRD: 35912 | NY | 0 | 2 | A | Active |
| UBS Asset Management (US) Inc. CRD: 583 | NY | 10 | 8 | D | Active |
| UBS Securities LLC CRD: 7654 | NY | 317 | 39 | D | Active |
| Unicredit Capital Markets LLC CRD: 7789 | NY | 3 | 2 | B | Active |
| United First Partners LLC CRD: 155456 | NY | 4 | 2 | B | Active |
| Univest Securities, LLC CRD: 36105 | NY | 2 | 1 | B | Active |
| Unlu Securities Inc. CRD: 238786 | NY | 0 | 3 | A | Active |
| UOB Global Equity Sales LLC CRD: 126500 | NY | 0 | 2 | A | Active |
| Uphold Securities Inc. CRD: 34071 | NY | 1 | 2 | B | Active |
| US Arma Partners LP CRD: 136024 | NY | 0 | 3 | A | Active |
| US Tiger Securities, Inc. CRD: 120583 | NY | 3 | 2 | B | Active |
| Usmart Capital, LLC CRD: 329365 | NY | 0 | 4 | A | Active |
| USQ Securities LLC CRD: 299008 | NY | 1 | 2 | B | Active |
| Usrem Securities LLC CRD: 317571 | NY | 0 | 2 | A | Active |
| Validate Capital Markets, LLC CRD: 133371 | NY | 0 | 2 | A | Active |
| Valley Financial Management, Inc. CRD: 105387 | NY | 5 | 17 | B | Active |
| VAN ECK Securities Corporation CRD: 2269 | NY | 2 | 3 | B | Active |
| VAN Lanschot Kempen (USA) Inc. CRD: 38760 | NY | 2 | 2 | B | Active |
| Vanderbilt Securities, LLC CRD: 5953 | NY | 6 | 179 | B | Active |
| Vaxa Partners LLC CRD: 334867 | NY | 0 | 2 | A | Active |
| VCS Venture Securities CRD: 127921 | NY | 3 | 6 | B | Active |
| Velocity Capital, LLC CRD: 171810 | NY | 2 | 5 | B | Active |
| Veritas Capital Securities L.L.C. CRD: 323755 | NY | 0 | 2 | A | Active |
| Vestwell Securities, LLC CRD: 331531 | NY | 0 | 2 | A | Active |
| Vienna Capital Partners LLC CRD: 311852 | NY | 0 | 2 | A | Active |
| View Partners Capital LLC CRD: 146522 | NY | 0 | 2 | A | Active |
| Virtu Americas LLC CRD: 149823 | NY | 75 | 8 | F | Active |
| Visions Analysis LLC CRD: 286678 | NY | 0 | 3 | A | Active |
| Vista Equity Partners Capital Markets, LLC CRD: 332887 | NY | 0 | 5 | A | Active |
| VNTR Securities LLC CRD: 283856 | NY | 0 | 2 | A | Active |
| Wall Street Access CRD: 10012 | NY | 34 | 9 | C | Active |
| Webull Financial LLC CRD: 289063 | NY | 6 | 3 | B | Active |
| Wedbush & Co., LLC CRD: 328492 | NY | 0 | 5 | A | Active |
| Wellfleet Investments LLC CRD: 18488 | NY | 0 | 2 | A | Active |
| WEMATCH.LIVE LLC CRD: 322944 | NY | 0 | 2 | A | Active |
| Westco Investment Corp. CRD: 20744 | NY | 0 | 4 | A | Active |
| Westpac Capital Markets LLC CRD: 164763 | NY | 0 | 2 | A | Active |
| Westwood Capital, LLC CRD: 39551 | NY | 1 | 2 | B | Active |
| William Hood & Company CRD: 293416 | NY | 0 | 3 | A | Active |
| Willis Towers Watson Securities, LLC CRD: 317602 | NY | 0 | 3 | A | Active |
| Willow Wealth Markets LLC CRD: 172295 | NY | 0 | 2 | A | Active |
| Wilmington Capital Securities, LLC CRD: 133839 | NY | 2 | 15 | B | Active |