Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Arrow Investments, Inc. CRD: 45936 | NY | 0 | 2 | A | Active |
| Artist Capital LLC CRD: 153937 | NY | 0 | 4 | A | Active |
| Asbury Capital LLC CRD: 142174 | NY | 0 | 2 | A | Active |
| Ashmore Investment Management (US) Corporation CRD: 152920 | NY | 0 | 2 | A | Active |
| Ashton Thomas Securities, LLC CRD: 16629 | NY | 6 | 31 | B | Active |
| Aspen Alpine Capital LLC CRD: 309099 | NY | 0 | 2 | A | Active |
| Astris Securities, LLC CRD: 300588 | NY | 0 | 2 | A | Active |
| Atlas Strategic Advisors, LLC CRD: 138970 | NY | 0 | 2 | A | Active |
| Atomic Brokerage LLC CRD: 315263 | NY | 1 | 3 | B | Active |
| Auerbach Grayson & Company LLC CRD: 30761 | NY | 0 | 2 | A | Active |
| Automated Equity Finance Markets, Inc. CRD: 147941 | NY | 0 | 2 | A | Active |
| Avatar Securities, LLC CRD: 147763 | NY | 1 | 3 | B | Active |
| Avendus Capital, Inc. CRD: 150160 | NY | 0 | 4 | A | Active |
| Avior Capital Markets US, LLC CRD: 172595 | NY | 0 | 3 | A | Active |
| Axiom Capital Management, Inc. CRD: 26580 | NY | 15 | 3 | C | Active |
| Axis Capital USA, LLC CRD: 293368 | NY | 0 | 2 | A | Active |
| Baader Helvea Inc. CRD: 132007 | NY | 0 | 2 | A | Active |
| Bamboo Securities, LLC CRD: 318434 | NY | 0 | 1 | A | Active |
| Banctrust Securities USA CRD: 313116 | NY | 0 | 2 | A | Active |
| Barclays Capital Inc. CRD: 19714 | NY | 164 | 19 | D | Active |
| Barnett & Partners Advisors, LLC CRD: 129373 | NY | 0 | 1 | A | Active |
| Baron Capital, Inc. CRD: 10538 | NY | 8 | 3 | C | Active |
| BAY Crest Partners, LLC CRD: 39944 | NY | 16 | 4 | C | Active |
| Bbva Securities Inc. CRD: 27060 | NY | 10 | 3 | D | Active |
| BC Partners Securities LLC CRD: 300947 | NY | 0 | 2 | A | Active |
| BDA Advisors Inc. CRD: 161730 | NY | 0 | 2 | A | Active |
| Beech Hill Securities, Inc. CRD: 24771 | NY | 6 | 4 | B | Active |
| Beehive Trading, LLC CRD: 328623 | NY | 0 | 1 | A | Active |
| Bell Potter Securities (US) LLC CRD: 289328 | NY | 0 | 2 | A | Active |
| Belle Haven Investments, L.P. CRD: 29278 | NY | 4 | 5 | B | Active |
| Belmont Capital CRD: 153792 | NY | 3 | 2 | B | Active |
| Belzberg Capital CRD: 321600 | NY | 0 | 5 | A | Active |
| Benedetto, Gartland & Company, Inc. CRD: 24083 | NY | 1 | 2 | B | Active |
| Bentallgreenoak Real Estate US LLC CRD: 157909 | NY | 0 | 6 | A | Active |
| Berenberg Capital Markets LLC CRD: 156757 | NY | 0 | 3 | A | Active |
| Berenson & Company, LLC CRD: 28016 | NY | 0 | 2 | A | Active |
| Berkery Noyes Securities, LLC CRD: 155918 | NY | 0 | 2 | A | Active |
| Berkshire Global Advisors LP CRD: 124180 | NY | 1 | 3 | B | Active |
| Bernstein Institutional Services LLC CRD: 317807 | NY | 0 | 9 | A | Active |
| Bessemer Investor Services, Inc. CRD: 17442 | NY | 0 | 18 | A | Active |
| Betterment Securities CRD: 47788 | NY | 2 | 5 | B | Active |
| BGC Financial, L.P. CRD: 19801 | NY | 36 | 13 | D | Active |
| Bids Trading L.P. CRD: 141296 | NY | 2 | 2 | B | Active |
| Blackrock Execution Services CRD: 39438 | NY | 0 | 6 | A | Active |
| Blackrock Investments, LLC CRD: 38642 | NY | 2 | 17 | C | Active |
| Blackstone Securities Partners L.P. CRD: 17917 | NY | 0 | 20 | A | Active |
| Blaylock VAN, LLC CRD: 145317 | NY | 2 | 6 | B | Active |
| Blink Securities LLC CRD: 305361 | NY | 0 | 2 | A | Active |
| Bloomberg Tradebook LLC CRD: 40881 | NY | 9 | 4 | C | Active |
| Blue Diamond Securities of America LLC CRD: 158821 | NY | 0 | 2 | A | Active |