Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| AIN MANAGEMENT LLC CRD: 323689 | — | 0 | 0 | A | Unknown |
| AINGEL INVESTMENTS, LLC CRD: 317795 | — | 0 | 0 | A | Unknown |
| AINN HOLDING, LLC CRD: 297419 | — | 0 | 0 | A | Unknown |
| AIO FINANCIAL, LLC CRD: 114030 | — | 0 | 0 | A | Unknown |
| AIOLOS MANAGEMENT, LLC CRD: 304686 | — | 0 | 0 | A | Unknown |
| AIP CAPITAL ADVISORS LLC CRD: 328465 | — | 0 | 0 | A | Unknown |
| AIP MANAGEMENT US CRD: 322515 | — | 0 | 0 | A | Unknown |
| AIR ASSET MANAGEMENT CRD: 288165 | — | 0 | 0 | A | Unknown |
| AIRBETHEL, INC. CRD: 284611 | — | 0 | 0 | A | Unknown |
| AIRBORNE VC, LLC CRD: 334499 | — | 0 | 0 | A | Unknown |
| AIRDRIE PARTNERS, LLC CRD: 174132 | — | 0 | 0 | A | Unknown |
| AIRE ADVISORS, LLC CRD: 307450 | — | 0 | 0 | A | Unknown |
| AIRGEAD, INC. CRD: 16567 | — | 0 | 0 | A | INACTIVE |
| AIRMARK INVESTMENTS INC CRD: 43358 | — | 0 | 0 | A | INACTIVE |
| AIRTREE VENTURES CRD: 338261 | — | 0 | 0 | A | Unknown |
| AIRWALLEX CAPITAL (US) LLC CRD: 332388 | CA | 0 | 1 | A | Active |
| AIS ASSET MANAGEMENT CRD: 312562 | — | 0 | 0 | A | Unknown |
| AIS ASSET MANAGEMENT, LLC CRD: 322402 | — | 0 | 0 | A | Unknown |
| AIS FINANCIAL CRD: 282713 | — | 0 | 0 | A | Unknown |
| AIS FINANCIAL, INC. CRD: 41462 | — | 4 | 0 | F | INACTIVE |
| AISLING ADVISORS CRD: 292423 | — | 0 | 0 | A | Unknown |
| AISPACE LLC CRD: 328936 | — | 0 | 0 | A | Unknown |
| AIX ALPHA LLC CRD: 341115 | — | 0 | 0 | A | Unknown |
| AIX VENTURES LLC CRD: 322702 | — | 0 | 0 | A | Unknown |
| AJ ADVISORS CRD: 321606 | — | 0 | 0 | A | Unknown |
| AJ PATTI ADVISORS LLC CRD: 326914 | — | 0 | 0 | A | Unknown |
| AJ TRADING, LLC CRD: 104181 | — | 0 | 0 | A | INACTIVE |
| AJ WEALTH CRD: 161950 | — | 0 | 0 | A | Unknown |
| AJA FINANCIAL LLC CRD: 307409 | — | 0 | 0 | A | Unknown |
| AJAX ASSET MGMT., LLC CRD: 328746 | — | 0 | 0 | A | Unknown |
| AJAX CAPITAL ADVISORS, INC. CRD: 150229 | — | 0 | 0 | A | Unknown |
| AJAX INVESTMENTS, LLC CRD: 31799 | — | 5 | 0 | F | INACTIVE |
| AJAY AGRAWAL CRD: 334610 | — | 0 | 0 | A | Unknown |
| AJD TRADING LLC CRD: 137826 | — | 0 | 0 | A | INACTIVE |
| AJD WEALTH CRD: 328624 | — | 0 | 0 | A | Unknown |
| AJEEJ CAPITAL CRD: 335055 | — | 0 | 0 | A | Unknown |
| AJI SECURITIES CORP. CRD: 47128 | — | 0 | 0 | A | INACTIVE |
| AJO CRD: 105545 | — | 0 | 0 | A | Unknown |
| AK ADVISORS CRD: 308038 | — | 0 | 0 | A | Unknown |
| AK CAPITAL LLC CRD: 28345 | — | 1 | 0 | F | INACTIVE |
| AK CAPITAL, LLC CRD: 35413 | — | 1 | 0 | F | INACTIVE |
| AK FINANCIAL GROUP CRD: 130338 | — | 0 | 0 | A | Unknown |
| AKAP, LLC CRD: 154218 | — | 2 | 0 | F | INACTIVE |
| AKG FINANCIAL GROUP CRD: 316548 | — | 0 | 0 | A | Unknown |
| AKIN INVESTMENTS, L.L.C. CRD: 281450 | — | 0 | 0 | A | Unknown |
| AKJ CRD: 38702 | — | 2 | 0 | F | INACTIVE |
| AKKADIAN WEALTH LLC CRD: 324482 | — | 0 | 0 | A | Unknown |
| AKL CAPITAL, LLC CRD: 322090 | — | 0 | 0 | A | Unknown |
| AKM ADVISORY CRD: 170187 | — | 0 | 0 | A | Unknown |
| AKO CAPITAL LLP CRD: 160379 | — | 0 | 0 | A | Unknown |