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 |
|---|---|---|---|---|---|
| 10H Capital CRD: 310161 | - | 0 | 1 | - | Unknown |
| 10Talents Investors, LLC CRD: 262786 | - | 0 | 1 | - | Unknown |
| 10TH Lane Partners, LP CRD: 160822 | - | 0 | 1 | - | Unknown |
| 10TH Mountain Management, LLC CRD: 314069 | - | 0 | 0 | - | Unknown |
| 10TH Mountain, LLC CRD: 285804 | - | 0 | 2 | - | Unknown |
| 10TH Street Capital CRD: 325171 | - | 0 | 2 | - | Unknown |
| 10X Capital Partners CRD: 332547 | - | 0 | 1 | - | Unknown |
| 10X Securities CRD: 104410 | - | 0 | 0 | A | INACTIVE |
| 10X TAX Solutions LLC CRD: 332152 | - | 0 | 0 | - | Unknown |
| 10X10Y LLC CRD: 315871 | - | 0 | 1 | - | Unknown |
| 11 Asset Management, LLC CRD: 171802 | - | 0 | 0 | - | Unknown |
| 11 Capital Partners LP CRD: 306165 | - | 0 | 1 | - | Unknown |
| 11 Financial CRD: 174569 | - | 0 | 6 | - | Unknown |
| 11 Tribes Ventures CRD: 328978 | - | 0 | 1 | - | Unknown |
| 11 Western Asset Management LLC CRD: 336272 | - | 0 | 1 | - | Unknown |
| 11.2 Capital CRD: 170078 | - | 0 | 1 | - | Unknown |
| 1102 Partners, LLC CRD: 313536 | - | 0 | 1 | - | Unknown |
| 111 Capital CRD: 305499 | - | 0 | 0 | - | Unknown |
| 111 West Capital LLC CRD: 325776 | - | 0 | 1 | - | Unknown |
| 1121 Management LLC CRD: 324616 | - | 0 | 1 | - | Unknown |
| 1124 Capital, LLC CRD: 316064 | - | 0 | 0 | - | Unknown |
| 1128 Capital, LLC CRD: 318637 | - | 0 | 0 | - | Unknown |
| 114TH Financial LC CRD: 332169 | - | 0 | 2 | - | Unknown |
| 118 West Capital Management LLC CRD: 307986 | - | 0 | 0 | - | Unknown |
| 1180 Manager LLC CRD: 335245 | - | 0 | 1 | - | Unknown |
| 11TH Street Capital Advisors CRD: 340799 | - | 0 | 2 | - | Unknown |
| 12 Meter Management, LP CRD: 145468 | - | 0 | 0 | - | Unknown |
| 12 Squared CRD: 146694 | - | 0 | 0 | - | Unknown |
| 12 West Capital Management LP CRD: 160197 | - | 0 | 1 | - | Unknown |
| 120 Capital CRD: 319547 | - | 0 | 1 | - | Unknown |
| 1200 MGMT. LLC CRD: 325571 | - | 0 | 1 | - | Unknown |
| 1207 Capital Group, LLC CRD: 162611 | - | 0 | 1 | - | Unknown |
| 1208 Capital Management, LLC CRD: 302092 | - | 0 | 1 | - | Unknown |
| 1209 Capital, LLC CRD: 282859 | - | 0 | 0 | - | Unknown |
| 1214 Capital, LLC CRD: 314072 | - | 0 | 0 | - | Unknown |
| 1230 Advisors, LLC CRD: 312504 | - | 0 | 1 | - | Unknown |
| 1248 Partners, LLC CRD: 325304 | - | 0 | 1 | - | Unknown |
| 1270 Capital LLC CRD: 171151 | - | 0 | 1 | - | Unknown |
| 1271787 LLC CRD: 320620 | - | 0 | 0 | - | Unknown |
| 1291 Group of the Americas CRD: 174939 | - | 0 | 0 | - | Unknown |
| 12TH Avenue Management, L.P. CRD: 143882 | - | 0 | 0 | - | Unknown |
| 12TH Street Asset Management CRD: 153528 | - | 0 | 5 | - | Unknown |
| 1305 Equity Holdings, LLC CRD: 285909 | - | 0 | 0 | - | Unknown |
| 1315 Capital CRD: 175292 | - | 0 | 1 | - | Unknown |
| 1316 Capital LLC CRD: 339245 | - | 0 | 1 | - | Unknown |
| 133 Legacy CRD: 328921 | - | 0 | 1 | - | Unknown |
| 13658058 Canada Inc. CRD: 320631 | - | 0 | 0 | - | Unknown |
| 137 Ventures Management, LLC CRD: 162351 | - | 0 | 1 | - | Unknown |
| 13Capital LLC CRD: 321758 | - | 0 | 1 | - | Unknown |
| 13D Management LLC CRD: 154009 | - | 0 | 1 | - | Unknown |