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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
BNG Financial Services,Inc.
CRD: 139933
 - 0 0 - Unknown
BNJ Capital Securities Corp.
CRD: 40693
 - 1 0 B INACTIVE
BNK Advisory Group, Inc.
CRD: 30209
 - 0 0 A INACTIVE
BNK Advisory Group, Inc. (Successor)
CRD: 135867
 - 0 0 A INACTIVE
BNM Capital Management, LLC
CRD: 299022
 - 0 1 - Unknown
BNP Paribas Asset Management Europe
CRD: 339789
 - 0 0 - Unknown
BNP Paribas Asset Management Singapore Limited
CRD: 161262
 - 0 0 - Unknown
BNP Paribas Asset Management UK Limited
CRD: 160817
 - 0 0 - Unknown
BNP Paribas Asset Management USA, Inc.
CRD: 105455
 - 0 1 - Unknown
BNP Paribas Brokerage Services, Inc.
CRD: 31394
 - 11 0 D INACTIVE
BNP Paribas Investment Services, LLC
CRD: 44598
 - 1 0 B INACTIVE
BNP Paribas Prime Brokerage, Inc.
CRD: 24962
 - 18 0 F INACTIVE
BNP Paribas Real Estate Investment Management Fran…
CRD: 340057
 - 0 0 - Unknown
BNP Paribas Securities Corp.
CRD: 15794
 NY 101 9 D Active
BNW Capital Corp
CRD: 23522
 - 0 0 A INACTIVE
BNY Advisors
CRD: 106108
 - 0 2 - Unknown
BNY Brokerage, Inc.
CRD: 17481
 - 0 0 A INACTIVE
BNY Capital Markets Inc.
CRD: 18303
 - 0 0 A INACTIVE
BNY Clearing Services LLC
CRD: 15879
 - 21 0 F INACTIVE
BNY Direct Execution Inc.
CRD: 29598
 - 0 0 A INACTIVE
BNY Investment Center Inc.
CRD: 47683
 - 0 0 A INACTIVE
BNY Mellon Capital Markets, LLC
CRD: 17454
 NY 26 9 D Active
BNY Mellon ETF Investment Adviser, LLC
CRD: 306148
 - 0 1 - Unknown
BNY Mellon Fund Management (Luxembourg) S.A.
CRD: 283267
 - 0 0 - Unknown
BNY Mellon Investment Adviser, Inc.
CRD: 105642
 - 0 1 - Unknown
BNY Mellon Investment Management Cayman Ltd
CRD: 170663
 - 0 0 - Unknown
BNY Mellon Investment Management Hong Kong Limited
CRD: 169689
 - 0 0 - Unknown
BNY Mellon Investment Management Japan Limited
CRD: 169829
 - 0 0 - Unknown
BNY Mellon Investment Management Singapore PTE. Li…
CRD: 169691
 - 0 0 - Unknown
BNY Mellon Investor Solutions, LLC
CRD: 277132
 - 0 0 - Unknown
BNY Mellon Securities Corporation
CRD: 231
 NY 13 84 B Active
BNY Mellon Securities LLC
CRD: 47268
 - 5 0 C INACTIVE
BNY Securities, Inc.
CRD: 19712
 - 0 0 A INACTIVE
BNY Trading LLC
CRD: 41410
 - 1 0 B INACTIVE
BOA Investments, Inc
CRD: 37160
 - 0 0 A INACTIVE
BOA Vista Wealth Management
CRD: 289385
 - 0 0 - Unknown
Boardage Capital Management, LLC
CRD: 170649
 - 0 0 - Unknown
Boardman BAY Capital Management LLC
CRD: 164577
 - 0 1 - Unknown
Boardroom Securities Corporation
CRD: 14859
 - 0 0 A INACTIVE
Boardwalk Capital Corporation
CRD: 10279
 - 0 0 A INACTIVE
Boardwalk Capital Management, Inc.
CRD: 150487
 - 0 1 - Unknown
Boardwalk Financial Strategies LLC
CRD: 165048
 - 0 1 - Unknown
Boardwalk Wealth Management
CRD: 310308
 - 0 1 - Unknown
Boatman and Bryant Capital Solutions PLLC
CRD: 307676
 - 0 0 - Unknown
Boatman Wealth Management, LLC
CRD: 151150
 - 0 1 - Unknown
Boatmen's Investment Services of Arkansas, Inc.
CRD: 17097
 - 0 0 A INACTIVE
Boatmen's Investment Services, Inc.
CRD: 17533
 - 0 0 A INACTIVE
Boatwright Capital Management, LLC
CRD: 328567
 - 0 0 - Unknown
Boavista Capital Management LLC
CRD: 170397
 - 0 0 - Unknown
BOB Decker & Associates, LLC
CRD: 153253
 - 0 0 - Unknown
Page 201 of 1601 (80,028 total)
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