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.L. Hart Financial CRD: 326744 | - | 0 | 0 | - | Unknown |
| A.L. Sarroff, LLC CRD: 123768 | - | 0 | 0 | A | INACTIVE |
| A.L. Stuart Investments, LLC CRD: 158974 | - | 0 | 0 | - | Unknown |
| A.L. Waters Capital, LLC CRD: 135419 | - | 2 | 0 | B | INACTIVE |
| A.M. Barber, Inc. CRD: 10803 | - | 0 | 0 | A | INACTIVE |
| A.M. Financial CRD: 269990 | - | 0 | 0 | - | Unknown |
| A.M. Kronfeld & Co., Inc. CRD: 21043 | - | 0 | 0 | A | INACTIVE |
| A.M. Levine & Co., Inc. CRD: 7453 | - | 0 | 0 | A | INACTIVE |
| A.M. Oppenheimer Securities,Inc. CRD: 14539 | - | 0 | 0 | A | INACTIVE |
| A.M. Perricone LLC CRD: 336599 | - | 0 | 1 | - | Unknown |
| A.M. Razo & Company Securities, Inc. CRD: 37105 | - | 1 | 0 | B | INACTIVE |
| A.M. Stutts Financial Management, LLC CRD: 166151 | - | 0 | 0 | - | Unknown |
| A.M.C. Advisors, Inc. CRD: 10727 | - | 0 | 0 | A | INACTIVE |
| A.O. Jones & Co. CRD: 13216 | - | 0 | 0 | A | INACTIVE |
| A.P. Gilfoyle Management & Research Company, L.L.C… CRD: 329643 | - | 0 | 0 | - | Unknown |
| A.P. Management Company, LLC CRD: 135358 | - | 0 | 0 | - | Unknown |
| A.P. Moller Capital P/S CRD: 335181 | - | 0 | 0 | - | Unknown |
| A.R.T. Advisors, LLC CRD: 161643 | - | 0 | 1 | - | Unknown |
| A.S. Goldmen & Co., Inc. CRD: 23180 | - | 0 | 0 | A | INACTIVE |
| A.S.A. Investment Company CRD: 10391 | - | 3 | 0 | C | INACTIVE |
| A.S.I., Inc. CRD: 118952 | - | 0 | 0 | - | Unknown |
| A.T. Gekko PR LLC CRD: 318114 | - | 0 | 1 | - | Unknown |
| A.T. Gekko, LLC CRD: 317160 | - | 0 | 1 | - | Unknown |
| A.T. Lloyd's, Inc CRD: 148225 | - | 0 | 2 | - | Unknown |
| A.T. Whitehead, Inc. CRD: 108412 | - | 0 | 0 | - | Unknown |
| A.T.A.P. Financial Services, Inc. CRD: 21201 | - | 4 | 0 | C | INACTIVE |
| A.T.B.N. Professional Limited Liability Company CRD: 139418 | - | 0 | 1 | - | Unknown |
| A.W. Bertsch, Inc. CRD: 32772 | - | 0 | 0 | A | INACTIVE |
| A.W. Jones CRD: 161260 | - | 0 | 1 | - | Unknown |
| A/T Capital Management Limited CRD: 162409 | - | 0 | 0 | - | Unknown |
| A/Y Digital Advisers LLC CRD: 318557 | - | 0 | 0 | - | Unknown |
| A1 Management Co. LLC CRD: 326677 | - | 0 | 1 | - | Unknown |
| A10 Capital CRD: 163199 | - | 0 | 0 | - | Unknown |
| A100X CRD: 310578 | - | 0 | 1 | - | Unknown |
| A100X Ventures CRD: 334339 | - | 0 | 1 | - | Unknown |
| A16Z Perennial Management, L.P. CRD: 324429 | - | 0 | 1 | - | Unknown |
| A2 Capital Management, LLC CRD: 326854 | - | 0 | 0 | - | Unknown |
| A2Resources LLC CRD: 325114 | - | 0 | 2 | - | Unknown |
| A3 Capital Advisors CRD: 338956 | - | 0 | 2 | - | Unknown |
| A3/C Partners LLP CRD: 338882 | - | 0 | 0 | - | Unknown |
| A4 Wealth Advisors LLC CRD: 152397 | - | 0 | 1 | - | Unknown |
| A5 Financial LLC CRD: 334313 | - | 0 | 1 | - | Unknown |
| A5 Securities LLC CRD: 288410 | NY | 0 | 2 | A | Active |
| A6 Capital Management LP CRD: 311003 | - | 0 | 0 | - | Unknown |
| A7 Management CRD: 332576 | - | 0 | 1 | - | Unknown |
| A8 River Capital Management CRD: 330518 | - | 0 | 0 | - | Unknown |
| AA Financial Advisors, LLC CRD: 119829 | - | 0 | 3 | - | Unknown |
| AA Financial Services CRD: 157667 | - | 0 | 2 | - | Unknown |
| AA Wealth Strategies LLC CRD: 319496 | - | 0 | 1 | - | Unknown |
| AAA Advisory LLC CRD: 336585 | - | 0 | 1 | - | Unknown |