Broker-Dealer Firms
56 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 |
|---|---|---|---|---|---|
| THE Forbes Securities Group LLC CRD: 288142 | CO | 0 | 4 | A | Active |
| Transamerica Capital, LLC CRD: 8217 | CO | 4 | 4 | C | Active |
| Vistia Capital, LLC CRD: 311342 | CO | 1 | 2 | B | Active |
| W.G. Nielsen & Co. CRD: 41093 | CO | 1 | 2 | B | Active |
| Weild & Co. CRD: 132398 | CO | 0 | 7 | A | Active |
| World Capital Brokerage, Inc. CRD: 37 | CO | 3 | 13 | B | Active |
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