Broker-Dealer Firms
80,028 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 |
|---|---|---|---|---|---|
| Abaco Asset Management LLP CRD: 167586 | - | 0 | 0 | - | Unknown |
| Abaco Retirement Advisors LLC CRD: 339297 | - | 0 | 1 | - | Unknown |
| Abacus & Associates, Inc. CRD: 16990 | - | 0 | 0 | A | INACTIVE |
| Abacus Asset Management, LLC CRD: 324280 | - | 0 | 1 | - | Unknown |
| Abacus Capital Advisors CRD: 309295 | - | 0 | 3 | - | Unknown |
| Abacus Capital Group LLC CRD: 157243 | - | 0 | 1 | - | Unknown |
| Abacus Capital Partners CRD: 149317 | - | 0 | 0 | - | Unknown |
| Abacus Equity Partners CRD: 335713 | - | 0 | 1 | - | Unknown |
| Abacus Equity Services, Inc. CRD: 11271 | - | 0 | 0 | A | INACTIVE |
| Abacus FCF Advisors LLC CRD: 135152 | - | 0 | 1 | - | Unknown |
| Abacus Financial Advisors CRD: 130616 | - | 0 | 0 | - | Unknown |
| Abacus Financial Planning CRD: 314646 | - | 0 | 4 | - | Unknown |
| Abacus International Capital Corp. CRD: 32119 | NY | 0 | 2 | A | Active |
| Abacus Investment Adviser, L.P. CRD: 149292 | - | 0 | 0 | - | Unknown |
| Abacus Investment Advisors CRD: 147556 | - | 0 | 1 | - | Unknown |
| Abacus Investments LLC CRD: 327805 | - | 0 | 1 | - | Unknown |
| Abacus Investments, Inc. CRD: 35127 | WI | 0 | 4 | A | Active |
| Abacus Planning Group, Inc. CRD: 107994 | - | 0 | 6 | - | Unknown |
| Abacus Wealth Factors, LLC CRD: 285839 | - | 0 | 1 | - | Unknown |
| Abacus Wealth International (AWI) CRD: 308998 | - | 0 | 2 | - | Unknown |
| Abacus Wealth Partners CRD: 128590 | - | 0 | 49 | - | Unknown |
| Abacus, Inc. CRD: 47291 | - | 0 | 0 | A | INACTIVE |
| Abakkus Asset Manager Private Limited CRD: 304571 | - | 0 | 0 | - | Unknown |
| Abalone Cove Advisors CRD: 137009 | - | 0 | 0 | - | Unknown |
| Abam, Inc. CRD: 170625 | - | 0 | 0 | - | Unknown |
| Abaris Financial Group, LLC CRD: 116355 | - | 0 | 0 | - | Unknown |
| Abarr LLC CRD: 322703 | - | 0 | 0 | - | Unknown |
| Abax Global Capital CRD: 161029 | - | 0 | 0 | - | Unknown |
| Abaya Wealth Management LLC CRD: 317534 | - | 0 | 1 | - | Unknown |
| ABB Structured Finance (USA), Inc. CRD: 44757 | - | 0 | 0 | A | INACTIVE |
| Abbaei Manager LLC CRD: 329838 | - | 0 | 1 | - | Unknown |
| Abbas a. Heydari,CFP® CRD: 113480 | - | 0 | 0 | - | Unknown |
| Abberton Capital LLP CRD: 173874 | - | 0 | 0 | - | Unknown |
| Abbey Capital (US) LLC CRD: 147760 | - | 0 | 0 | A | INACTIVE |
| Abbey Capital Limited CRD: 153498 | - | 0 | 0 | - | Unknown |
| Abbey Capital LLC CRD: 151835 | - | 0 | 0 | - | Unknown |
| Abbey Group Capital LLC CRD: 340556 | - | 0 | 1 | - | Unknown |
| Abbey Hill Financial Advisors, LLC CRD: 126813 | - | 0 | 2 | - | Unknown |
| Abbey National Securities Inc. CRD: 112219 | - | 0 | 0 | A | INACTIVE |
| Abbey Street CRD: 305107 | - | 0 | 2 | - | Unknown |
| Abbey-Ashford Securities, Inc. CRD: 17650 | - | 0 | 0 | A | INACTIVE |
| Abbilon Investments CRD: 285520 | - | 0 | 0 | - | Unknown |
| Abbington Investment Group, LLC CRD: 174407 | - | 0 | 3 | - | Unknown |
| Abbington Wells LLC. CRD: 157464 | - | 0 | 2 | - | Unknown |
| Abbit Management Corp CRD: 110507 | - | 0 | 1 | - | Unknown |
| Abbott (JR), James Deloach CRD: 41011 | - | 0 | 0 | A | INACTIVE |
| Abbott Capital Management Corp. CRD: 134334 | - | 0 | 3 | - | Unknown |
| Abbott Capital Management LLC CRD: 106332 | - | 0 | 1 | - | Unknown |
| Abbott Securities, Inc. CRD: 25414 | - | 0 | 0 | A | INACTIVE |
| Abbrea Capital, LLC CRD: 272029 | - | 0 | 0 | - | Unknown |