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 |
|---|---|---|---|---|---|
| Black OAK Investment Management Company CRD: 308421 | - | 0 | 2 | - | Unknown |
| Black OAK Securities, Inc. CRD: 30889 | IL | 0 | 11 | A | Active |
| Black OAK Wealth Management, Inc. CRD: 282568 | - | 0 | 0 | - | Unknown |
| Black OAK Wealth Management, LLC CRD: 149349 | - | 0 | 1 | - | Unknown |
| Black Opal Ventures, LLC CRD: 322153 | - | 0 | 1 | - | Unknown |
| Black OWL Capital CRD: 330161 | - | 0 | 1 | - | Unknown |
| Black Peak Capital LLC CRD: 284701 | - | 0 | 0 | - | Unknown |
| Black Pearl Financial Services LLC CRD: 156700 | - | 0 | 0 | - | Unknown |
| Black Point Capital Management CRD: 116654 | - | 0 | 0 | - | Unknown |
| Black Point Partners, Inc. CRD: 126192 | - | 0 | 0 | A | INACTIVE |
| Black Point Wealth Management CRD: 329358 | - | 0 | 0 | - | Unknown |
| Black Raven Investments, LLC CRD: 289853 | - | 0 | 1 | - | Unknown |
| Black River Asset Management LLC CRD: 127590 | - | 0 | 0 | - | Unknown |
| Black River Capital LLC CRD: 122552 | - | 0 | 0 | A | INACTIVE |
| Black Rose Equity Management LLC CRD: 147299 | - | 0 | 0 | A | INACTIVE |
| Black Saddle Capital Partners LLC CRD: 316630 | - | 0 | 1 | - | Unknown |
| Black Sail Capital Management LLC CRD: 282781 | - | 0 | 0 | - | Unknown |
| Black Sand Partners X MGMT LLC CRD: 314031 | - | 0 | 0 | - | Unknown |
| Black SEA Gold Advisors LLC CRD: 304330 | - | 0 | 2 | - | Unknown |
| Black SEA Investment Group CRD: 327494 | - | 0 | 2 | - | Unknown |
| Black Star Fund Management I LLC CRD: 312860 | - | 0 | 1 | - | Unknown |
| Black Stream Advisors, LLC CRD: 325980 | - | 0 | 0 | - | Unknown |
| Black SUN, Inc. CRD: 335651 | - | 0 | 1 | - | Unknown |
| Black Swan CRD: 157757 | - | 0 | 0 | - | Unknown |
| Black Swan Advisors LLC CRD: 173459 | - | 0 | 1 | - | Unknown |
| Black Swan Advisors, LP CRD: 142175 | - | 0 | 0 | - | Unknown |
| Black Swan Management Group, Inc. CRD: 112371 | - | 0 | 1 | - | Unknown |
| Black Swan Technology Fund I Manager CRD: 325666 | - | 0 | 0 | - | Unknown |
| Black Swan Technology Fund Manager, LLC CRD: 323774 | - | 0 | 1 | - | Unknown |
| Black Swan Wealth Management CRD: 169586 | - | 0 | 2 | - | Unknown |
| Black Swift Group, LLC CRD: 286084 | - | 0 | 2 | - | Unknown |
| Black Toro LLC CRD: 315289 | - | 0 | 1 | - | Unknown |
| Black Walnut Advisors LLC CRD: 134442 | - | 0 | 0 | - | Unknown |
| Black Walnut Wealth Management CRD: 337606 | - | 0 | 1 | - | Unknown |
| Black Watch Investment Managers, L.L.P. CRD: 123627 | - | 0 | 0 | - | Unknown |
| Black-and-White Capital LP CRD: 285008 | - | 0 | 0 | - | Unknown |
| Blackbarn Capital Partners LP CRD: 319137 | - | 0 | 1 | - | Unknown |
| Blackbay Capital Advisors LLC CRD: 116888 | - | 0 | 1 | - | Unknown |
| Blackbear Asset Management, Inc. CRD: 288010 | - | 0 | 0 | - | Unknown |
| Blackbear Capital, LLC CRD: 310990 | - | 0 | 1 | - | Unknown |
| Blackbeard Capital Management, LLC CRD: 282662 | - | 0 | 1 | - | Unknown |
| Blackbeard Securities, LLC CRD: 46748 | - | 3 | 0 | C | INACTIVE |
| Blackbird Capital Management, LLC CRD: 310202 | - | 0 | 1 | - | Unknown |
| Blackbird Financial Planning CRD: 313718 | - | 0 | 2 | - | Unknown |
| Blackbird LLC CRD: 310242 | - | 0 | 0 | - | Unknown |
| Blackbird North America CRD: 104176 | - | 0 | 0 | A | INACTIVE |
| Blackbird Ventures PTY Ltd. CRD: 328250 | - | 0 | 0 | - | Unknown |
| Blackbody Asset Management, LLC CRD: 282464 | - | 0 | 0 | - | Unknown |
| Blackbook Capital, LLC CRD: 123234 | - | 5 | 0 | C | INACTIVE |
| Blackborg Management, LLC CRD: 311985 | - | 0 | 1 | - | Unknown |