Broker-Dealer Firms
55 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 |
|---|---|---|---|---|---|
| TC2000 Brokerage, Inc. CRD: 155523 | NC | 0 | 3 | A | Active |
| THE Strategic Alliance Corporation CRD: 32788 | NC | 0 | 2 | A | Active |
| Tobin & Company Securities LLC CRD: 137918 | NC | 0 | 2 | A | Active |
| Tradier Brokerage, Inc. CRD: 104982 | NC | 2 | 3 | B | Active |
| Wells Fargo Securities, LLC CRD: 126292 | NC | 162 | 84 | D | Active |
Page 2 of 2 (55 total)