Broker-Dealer Firms
111 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 |
|---|---|---|---|---|---|
| Ibkr Securities Services LLC CRD: 33319 | CT | 42 | 2 | F | Active |
| ICR Capital LLC CRD: 174952 | CT | 0 | 3 | A | Active |
| Intelligent Cross LLC CRD: 288946 | CT | 0 | 2 | A | Active |
| Interactive Brokers Corp. CRD: 117942 | CT | 3 | 8 | B | Active |
| Interactive Brokers LLC CRD: 36418 | CT | 118 | 17 | F | Active |
| J.M Lummis Securities, Inc. CRD: 43818 | CT | 1 | 2 | B | Active |
| Kelson Capital LLC CRD: 149477 | CT | 0 | 2 | A | Active |
| M.M. Dillon & Co. LLC CRD: 19878 | CT | 2 | 1 | B | Active |
| Mallory Capital Group, LLC CRD: 108486 | CT | 0 | 2 | A | Active |
| Manor Private Capital, LLC CRD: 149192 | CT | 0 | 2 | A | Active |
| MC Square Capital, LLC CRD: 169545 | CT | 0 | 2 | A | Active |
| Mcsa Securities LLC CRD: 335417 | CT | 0 | 2 | A | Active |
| Natwest Markets Securities Inc. CRD: 11707 | CT | 47 | 7 | D | Active |
| Near Earth, LLC CRD: 126041 | CT | 0 | 2 | A | Active |
| Oasis PRO Markets LLC CRD: 149420 | CT | 0 | 2 | A | Active |
| Optimx Securities LLC CRD: 290963 | CT | 0 | 2 | A | Active |
| Osaic Institutions, Inc. CRD: 35371 | CT | 9 | 997 | B | Active |
| P. a. N. Securities, LP CRD: 104823 | CT | 1 | 2 | B | Active |
| Pentegra Distributors Inc. CRD: 26249 | CT | 1 | 2 | B | Active |
| Philosmith Securities LLC CRD: 281177 | CT | 0 | 2 | A | Active |
| Prudential Annuities Distributors, Inc CRD: 21570 | CT | 3 | 24 | C | Active |
| Realtyx, LLC CRD: 316304 | CT | 0 | 2 | A | Active |
| Renaissance Macro Securities, LLC CRD: 163927 | CT | 0 | 4 | A | Active |
| Rondeivu Securities, LLC CRD: 321162 | CT | 0 | 2 | A | Active |
| SAF Financial Securities LLC CRD: 284938 | CT | 0 | 2 | A | Active |
| Sami Brokerage LLC CRD: 18217 | CT | 1 | 3 | B | Active |
| Saybrus Equity Services, LLC CRD: 153319 | CT | 0 | 19 | A | Active |
| Searle & Co. CRD: 13035 | CT | 4 | 8 | B | Active |
| Shearman, Ralston Inc. CRD: 7320 | CT | 0 | 4 | A | Active |
| Signum Growth Capital LLC CRD: 300577 | CT | 0 | 2 | A | Active |
| Skyworks Securities, LLC CRD: 128985 | CT | 0 | 2 | A | Active |
| SPC Capital Markets LLC CRD: 304381 | CT | 0 | 4 | A | Active |
| Starwood Capital, L.L.C. CRD: 146057 | CT | 0 | 7 | A | Active |
| Stock Securities LLC CRD: 32244 | CT | 2 | 3 | B | Active |
| Stone KEY Securities LLC CRD: 152341 | CT | 0 | 2 | A | Active |
| Stuyvesant Square Advisors, Inc. CRD: 148491 | CT | 0 | 3 | A | Active |
| Talcott Resolution Distribution Company, Inc. CRD: 37819 | CT | 2 | 4 | B | Active |
| THE Bank Street Group L.L.C. CRD: 116269 | CT | 0 | 2 | A | Active |
| Third Seven Capital LLC CRD: 160209 | CT | 1 | 4 | B | Active |
| TNCP, LLC CRD: 150134 | CT | 0 | 3 | A | Active |
| Tourmaline Partners, LLC CRD: 154492 | CT | 3 | 2 | B | Active |
| UBS Fund Services (USA) LLC CRD: 41848 | CT | 0 | 2 | A | Active |
| Umergence LLC CRD: 284368 | CT | 0 | 2 | A | Active |
| USI Securities, Inc. CRD: 43793 | CT | 0 | 28 | A | Active |
| Vertical Research Securities, Inc. CRD: 334696 | CT | 0 | 1 | A | Active |
| Virtus Capital Markets LLC CRD: 291456 | CT | 0 | 2 | A | Active |
| Vision Brokerage Services, LLC CRD: 47927 | CT | 4 | 2 | B | Active |
| Vision Financial Markets LLC CRD: 142271 | CT | 34 | 7 | C | Active |
| Vistina Advisory LLC CRD: 337987 | CT | 0 | 3 | A | Active |
| Vistina Structured Credit Advisory LLC CRD: 337986 | CT | 0 | 3 | A | Active |