Broker-Dealer Firms
200 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 |
|---|---|---|---|---|---|
| Comhar Capital Markets, LLC CRD: 47955 | IL | 3 | 3 | B | Active |
| Consolidated Trading LLC CRD: 117726 | IL | 22 | 1 | F | Active |
| Corporate Investments Group, Inc. CRD: 38690 | IL | 7 | 2 | C | Active |
| Correll Co. Investment Services Corp. CRD: 38995 | IL | 0 | 5 | A | Active |
| Country Capital Management Company CRD: 12060 | IL | 0 | 653 | A | Active |
| CTC, LLC CRD: 44597 | IL | 18 | 3 | F | Active |
| Culvert Capital LLC CRD: 313898 | IL | 0 | 2 | A | Active |
| Cumberland Securities LLC CRD: 13970 | IL | 0 | 1 | A | Active |
| Dash Financial Technologies LLC CRD: 104031 | IL | 69 | 3 | F | Active |
| Dash Prime LLC CRD: 41257 | IL | 6 | 3 | B | Active |
| DCM Brokers, LLC CRD: 144158 | IL | 0 | 2 | A | Active |
| Deloitte Corporate Finance LLC CRD: 111747 | IL | 3 | 7 | B | Active |
| DNA Securities LLC CRD: 312799 | IL | 0 | 2 | A | Active |
| Dresner Investment Services, Inc. CRD: 35145 | IL | 0 | 3 | A | Active |
| DRW Execution Services, LLC CRD: 290408 | IL | 2 | 3 | B | Active |
| DRW Securities, L.L.C. CRD: 45908 | IL | 9 | 3 | C | Active |
| DV Equities CRD: 312688 | IL | 0 | 1 | A | Active |
| DV Securities, LLC CRD: 305134 | IL | 0 | 3 | A | Active |
| DWS Distributors, Inc. CRD: 37306 | IL | 6 | 13 | C | Active |
| Egwele Securities LLC CRD: 309093 | IL | 0 | 3 | A | Active |
| Elmcore Securities LLC CRD: 158922 | IL | 0 | 2 | A | Active |
| Everlake Distributors, LLC CRD: 100460 | IL | 0 | 5 | A | Active |
| Fast Execution Services LLC CRD: 306649 | IL | 0 | 2 | A | Active |
| FCF Securities and Derivatives LLC CRD: 157067 | IL | 4 | 2 | B | Active |
| First Trust Portfolios L.P. CRD: 28519 | IL | 4 | 5 | C | Active |
| FIS Brokerage & Securities Services LLC CRD: 104162 | IL | 23 | 3 | D | Active |
| Frontegra Strategies, LLC CRD: 137529 | IL | 0 | 3 | A | Active |
| Frontier ONE LLC CRD: 330993 | IL | 0 | 2 | A | Active |
| G1 Execution Services, LLC CRD: 111528 | IL | 35 | 3 | D | Active |
| GAR Wood Securities, LLC CRD: 138033 | IL | 3 | 16 | B | Active |
| GBS Retirement Services, Inc. CRD: 34889 | IL | 0 | 4 | A | Active |
| Gelber Securities, LLC CRD: 18367 | IL | 9 | 2 | C | Active |
| Gemini Capital L.L.C. CRD: 45178 | IL | 0 | 2 | A | Active |
| Geneva Stock, L.L.C. CRD: 104435 | IL | 4 | 2 | B | Active |
| Gigastar Securities, LLC CRD: 328312 | IL | 0 | 2 | A | Active |
| Glade Point Securities, LLC CRD: 336674 | IL | 0 | 1 | A | Active |
| Great Point Capital LLC CRD: 114203 | IL | 13 | 4 | C | Active |
| Group ONE Trading LLC CRD: 37484 | IL | 33 | 3 | D | Active |
| GRV Securities LLC CRD: 138348 | IL | 0 | 5 | A | Active |
| Guggenheim Funds Distributors, LLC CRD: 39805 | IL | 0 | 10 | A | Active |
| Halo Securities, LLC CRD: 279029 | IL | 0 | 2 | A | Active |
| Harbor Funds Distributors, Inc. CRD: 113506 | IL | 0 | 4 | A | Active |
| Harris Associates Securities L.P. CRD: 6959 | IL | 2 | 2 | B | Active |
| Headlands Technologies Securities, LLC CRD: 288960 | IL | 0 | 4 | A | Active |
| Heitman Securities LLC CRD: 13620 | IL | 0 | 2 | A | Active |
| Hightower Securities, LLC CRD: 116681 | IL | 6 | 80 | C | Active |
| Hilco Corporate Finance, LLC CRD: 282060 | IL | 0 | 8 | A | Active |
| HMP Capital, LLC CRD: 325528 | IL | 0 | 2 | A | Active |
| Horace Mann Investors, Inc. CRD: 11643 | IL | 6 | 287 | B | Active |
| Houlihan Capital, LLC CRD: 156028 | IL | 2 | 3 | B | Active |