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 |
|---|---|---|---|---|---|
| Winterflood Securities US Corporation CRD: 299110 | NY | 0 | 2 | A | Active |
| Wintour & Company, Inc. CRD: 155448 | NY | 0 | 2 | A | Active |
| Wisdomtree Securities, Inc. CRD: 317624 | NY | 0 | 2 | A | Active |
| Wise US Assets Inc CRD: 329919 | NY | 0 | 2 | A | Active |
| Wolfe Research Securities CRD: 151850 | NY | 1 | 6 | B | Active |
| Wolfpack Brokerage Services CRD: 337229 | NY | 0 | 1 | A | Active |
| Wombat Capital Markets LLC CRD: 162699 | NY | 0 | 3 | A | Active |
| Wyser-Pratte & Co., Inc. CRD: 28056 | NY | 3 | 2 | B | Active |
| XP Investments US, LLC CRD: 156691 | NY | 3 | 3 | B | Active |
| Xtellus Capital Partners, Inc. CRD: 156048 | NY | 0 | 3 | A | Active |
| XTX Execution Services LLC CRD: 309266 | NY | 0 | 2 | A | Active |
| XTX Markets LLC CRD: 289846 | NY | 0 | 2 | A | Active |
| York Securities, Inc. CRD: 8056 | NY | 8 | 3 | C | Active |
| York Stockbrokers, Inc. CRD: 102740 | NY | 1 | 2 | B | Active |
| Young & Partners LLC CRD: 40702 | NY | 0 | 2 | A | Active |
| Young America Capital, LLC CRD: 150443 | NY | 1 | 2 | B | Active |
| ZL Zenithar (USA) CRD: 321941 | NY | 0 | 1 | A | Active |
| ZOE Securities LLC CRD: 326979 | NY | 0 | 2 | A | Active |
Page 18 of 18 (868 total)