Broker-Dealer Firms
89 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| NI Advisors CRD: 134502 | CA | 1 | 17 | B | Active |
| OCM Investments, LLC CRD: 128803 | CA | 0 | 4 | A | Active |
| Pacific Point Securities, LLC CRD: 150272 | CA | 0 | 2 | A | Active |
| Pfal Securities, Inc. CRD: 324510 | CA | 0 | 2 | A | Active |
| Plan B Investments, Inc. CRD: 136162 | CA | 0 | 3 | A | Active |
| Plus Venture Partners, LLC CRD: 299033 | CA | 0 | 2 | A | Active |
| Port Securities, Inc. CRD: 43936 | CA | 1 | 2 | B | Active |
| Private Portfolio, Inc. CRD: 36644 | CA | 1 | 9 | B | Active |
| Qatalyst Partners LP CRD: 147251 | CA | 1 | 2 | B | Active |
| Quincy Cass Associates, Incorporated CRD: 686 | CA | 6 | 2 | C | Active |
| Rance King Securities Corp. CRD: 15737 | CA | 2 | 2 | B | Active |
| RBC Securities, Inc CRD: 103705 | CA | 3 | 133 | B | Active |
| S.L. Reed & Company CRD: 40744 | CA | 1 | 2 | B | Active |
| Salem Partners LLC CRD: 43363 | CA | 1 | 3 | B | Active |
| Second Street Securities, Inc. CRD: 42404 | CA | 1 | 3 | B | Active |
| Shopoff Securities, Inc. CRD: 142866 | CA | 0 | 2 | A | Active |
| Siena Global Securities, LLC CRD: 156467 | CA | 0 | 2 | A | Active |
| Sofi Securities LLC CRD: 151717 | CA | 2 | 6 | C | Active |
| Stax Capital CRD: 300607 | CA | 0 | 2 | A | Active |
| Stock Traders CRD: 37711 | CA | 0 | 3 | A | Active |
| Taylor Grey, Inc. CRD: 308518 | CA | 0 | 3 | A | Active |
| TFA Securities, Inc. CRD: 284982 | CA | 0 | 3 | A | Active |
| THE Courtney Group, LLC CRD: 114904 | CA | 0 | 2 | A | Active |
| THE Spartan Group CRD: 124430 | CA | 0 | 3 | A | Active |
| Tidal Partners CRD: 323885 | CA | 0 | 4 | A | Active |
| Trend Trade Securities LLC CRD: 328756 | CA | 0 | 2 | A | Active |
| TWD Securities, LLC CRD: 143380 | CA | 0 | 2 | A | Active |
| Union Square Advisors LLC CRD: 141254 | CA | 0 | 4 | A | Active |
| Uphorizon, LLC CRD: 328256 | CA | 0 | 2 | A | Active |
| Upmarket Securities LLC CRD: 295634 | CA | 2 | 4 | B | Active |
| VEX Securities CRD: 317371 | CA | 0 | 1 | A | Active |
| VF Securities CRD: 315194 | CA | 0 | 2 | A | Active |
| Westpark Capital, Inc. CRD: 39914 | CA | 16 | 8 | B | Active |
| WNC Capital Corporation CRD: 36174 | CA | 0 | 2 | A | Active |
| Wood Warren & Co. Securities, LLC CRD: 136526 | CA | 0 | 2 | A | Active |
| Wulff, Hansen & Co. CRD: 908 | CA | 4 | 5 | B | Active |
| Xnergy Financial LLC CRD: 144436 | CA | 1 | 2 | B | Active |
| Yosemite Execution Partners Inc. CRD: 165587 | CA | 1 | 2 | B | Active |
| Zanbato Securities LLC CRD: 279028 | CA | 0 | 2 | A | Active |
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