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 |
|---|---|---|---|---|---|
| AAA Capital & Securities Corp. CRD: 13978 | - | 0 | 0 | A | INACTIVE |
| AAA Stockbrokers, Inc. CRD: 36150 | - | 0 | 0 | A | INACTIVE |
| Aabaris Fund Management LLC CRD: 282442 | - | 0 | 0 | - | Unknown |
| AAC Benelux CRD: 167677 | - | 0 | 0 | - | Unknown |
| AAC Capital Partners CRD: 160854 | - | 0 | 0 | - | Unknown |
| Aacp Investments, LLC CRD: 314568 | - | 0 | 1 | - | Unknown |
| Aact Retirement Services CRD: 168248 | - | 0 | 0 | - | Unknown |
| AAD Capital Management L.P. CRD: 134246 | - | 0 | 0 | - | Unknown |
| AAF Ventures, LLC CRD: 341570 | - | 0 | 1 | - | Unknown |
| AAF Wealth Management, LLC CRD: 164646 | - | 0 | 1 | - | Unknown |
| Aafmc LLC CRD: 287665 | - | 0 | 1 | - | Unknown |
| AAG Capital, Inc CRD: 188 | FL | 1 | 11 | B | Active |
| AAG Management Co. CRD: 173957 | - | 0 | 0 | - | Unknown |
| Aaim Financial CRD: 318351 | - | 0 | 1 | - | Unknown |
| Aalexander LLC CRD: 336570 | - | 0 | 2 | - | Unknown |
| AAM CRD: 109875 | - | 0 | 1 | - | Unknown |
| AAM FEE-Only Financial Planning and Investment Adv… CRD: 109178 | - | 0 | 0 | - | Unknown |
| AAM Securities, Inc. CRD: 15383 | - | 0 | 0 | A | INACTIVE |
| AAN Wealth Advisors LLC CRD: 300652 | - | 0 | 10 | - | Unknown |
| Aaogi Investment Corp. CRD: 31267 | - | 0 | 0 | A | INACTIVE |
| Aardvark Securities LLC CRD: 166932 | IL | 0 | 1 | A | Active |
| Aarhus Advisors, LLC CRD: 330639 | - | 0 | 1 | - | Unknown |
| Aarion Management LLC CRD: 342460 | - | 0 | 1 | - | Unknown |
| Aaron Anshin & Associates LLC CRD: 314756 | - | 0 | 0 | - | Unknown |
| Aaron Brask Capital CRD: 155472 | - | 0 | 1 | - | Unknown |
| Aaron David Wealth Management CRD: 283165 | - | 0 | 0 | - | Unknown |
| Aaron Diamond CRD: 14052 | - | 0 | 0 | A | INACTIVE |
| Aaron Geoffrey Turner CRD: 133240 | - | 0 | 2 | - | Unknown |
| Aaron L. Johnson & Company CRD: 282332 | - | 0 | 0 | - | Unknown |
| Aaron Wealth Advisors CRD: 298079 | - | 0 | 3 | - | Unknown |
| Aaron, Richard Walter CRD: 34235 | - | 0 | 0 | A | INACTIVE |
| Aarp Financial, Inc. CRD: 316492 | - | 0 | 0 | - | Unknown |
| Aavcf LLC CRD: 298167 | - | 0 | 1 | - | Unknown |
| Aavin Equity Advisors, LLC CRD: 170599 | - | 0 | 1 | - | Unknown |
| Aavishkaar Venture Management Services Private Lim… CRD: 292206 | - | 0 | 0 | - | Unknown |
| AB Broadly Syndicated Loan Manager LLC CRD: 308135 | - | 0 | 1 | - | Unknown |
| AB Carval Investors, LP CRD: 141819 | - | 0 | 1 | - | Unknown |
| AB Custom Alternative Solutions LLC CRD: 110879 | - | 0 | 1 | - | Unknown |
| AB Financial Planning and Investments, LLC CRD: 284636 | - | 0 | 2 | - | Unknown |
| AB Financial Strategies CRD: 120931 | - | 0 | 0 | - | Unknown |
| AB Hhelio Associates, Inc. CRD: 119567 | - | 0 | 2 | - | Unknown |
| AB Initio Financial LLC CRD: 325309 | - | 0 | 0 | - | Unknown |
| AB Magnitude Ventures Group CRD: 309472 | - | 0 | 1 | - | Unknown |
| AB-Allen Financial, LLC CRD: 115022 | - | 0 | 0 | - | Unknown |
| AB2 Capital Partners LLC CRD: 318038 | - | 0 | 1 | - | Unknown |
| ABA Capital LLC CRD: 301570 | - | 0 | 1 | - | Unknown |
| Abac Capital CRD: 284831 | - | 0 | 0 | - | Unknown |
| Abac Capital Manager, Sgeic, S.A.U. CRD: 307902 | - | 0 | 0 | - | Unknown |
| Abac Solutions Manager CRD: 284881 | - | 0 | 0 | - | Unknown |
| Abaci Capital Advisors, LLC CRD: 161576 | - | 0 | 0 | - | Unknown |