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.
A 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Half Moon Management, LLC CRD: 210517 | — | 0 | 0 | A | Unknown |
| Half SKY Capital (UK) Ltd CRD: 288659 | — | 0 | 0 | A | Unknown |
| Halite Partners, LLC CRD: 289182 | — | 0 | 0 | A | Unknown |
| Hall Capital, LLC CRD: 153961 | — | 0 | 2 | A | Unknown |
| Hall Invests CRD: 315481 | — | 0 | 0 | A | Unknown |
| Hall, Curley & Co., Inc. CRD: 19516 | — | 0 | 0 | A | INACTIVE |
| Haller Management,LLC CRD: 318399 | — | 0 | 1 | A | Unknown |
| Hallett Advisors CRD: 115970 | — | 0 | 0 | A | Unknown |
| Hallett Advisors CRD: 306187 | — | 0 | 5 | A | Unknown |
| Halley Hill Wealth Management LLC CRD: 309507 | — | 0 | 1 | A | Unknown |
| Halliser LLC CRD: 316850 | — | 0 | 1 | A | Unknown |
| Hallmark Investments, Inc. CRD: 135003 | — | 8 | 0 | D | INACTIVE |
| Halo Advisors, LLC CRD: 175011 | — | 0 | 0 | A | Unknown |
| Halo Investing, Inc. CRD: 283758 | — | 0 | 0 | A | Unknown |
| Halo Partners CRD: 340004 | — | 0 | 1 | A | Unknown |
| Halo Securities, LLC CRD: 279029 | IL | 0 | 2 | A | Active |
| Halpern, Gail R. CRD: 121781 | — | 0 | 0 | A | Unknown |
| Halsey Associates CRD: 281212 | — | 0 | 0 | A | Unknown |
| Halter Ferguson Financial Inc CRD: 109563 | — | 0 | 2 | A | Unknown |
| Hamano & Associates CRD: 135847 | — | 0 | 0 | A | Unknown |
| Hambrecht & Quist LLC CRD: 940 | — | 22 | 0 | F | INACTIVE |
| Hamby Asset Management CRD: 134450 | — | 0 | 0 | A | Unknown |
| Hamewith Wealth CRD: 339975 | — | 0 | 1 | A | Unknown |
| Hamilton Asset Advisers CRD: 291683 | — | 0 | 1 | A | Unknown |
| Hamilton Capital CRD: 109116 | — | 0 | 17 | A | Unknown |
| Hamilton Grant LLC CRD: 166180 | CA | 0 | 9 | A | Active |
| Hamilton Hall Real Estate Partners, LLC CRD: 293984 | — | 0 | 0 | A | Unknown |
| Hamilton Investments, Inc. CRD: 821 | — | 0 | 0 | A | INACTIVE |
| Hamilton Lane CRD: 107876 | — | 0 | 1 | A | Unknown |
| Hamilton Robinson LLC CRD: 162590 | — | 0 | 1 | A | Unknown |
| Hamilton Wealth, LLC CRD: 289462 | — | 0 | 3 | A | Unknown |
| Hammana LLC CRD: 297689 | — | 0 | 1 | A | Unknown |
| Hammond Interests Inc. CRD: 21993 | — | 0 | 0 | A | INACTIVE |
| Hammond Investments Hammond Zuro, Inc. CRD: 42606 | — | 0 | 0 | A | INACTIVE |
| Hampton Asset Advisors, LLC CRD: 172399 | — | 0 | 0 | A | Unknown |
| Hampton Hedge Fund Marketing, LLC CRD: 141685 | — | 0 | 0 | A | INACTIVE |
| Hampton Securities (USA), Inc. CRD: 46816 | — | 3 | 0 | C | INACTIVE |
| HAN River Partners CRD: 318906 | — | 0 | 1 | A | Unknown |
| Hanafara CRD: 340416 | — | 0 | 1 | A | Unknown |
| Hanai Capital, LLC CRD: 168243 | — | 0 | 0 | A | Unknown |
| Hanai Financial CRD: 328289 | — | 0 | 1 | A | Unknown |
| Hanalei, LLC CRD: 289478 | — | 0 | 1 | A | Unknown |
| Hancock Wealth Advisory CRD: 119554 | — | 0 | 2 | A | Unknown |
| Hancock-Smith, LLC CRD: 111215 | — | 0 | 0 | A | Unknown |
| Hand Securities, Inc CRD: 45198 | TX | 0 | 2 | A | Active |
| Handal Dunaway LLC CRD: 333166 | — | 0 | 1 | A | Unknown |
| Handel, Lundborg & Co. CRD: 2125 | — | 0 | 0 | A | INACTIVE |
| Hanifen, Imhoff Inc. CRD: 2126 | — | 0 | 0 | A | INACTIVE |
| Hanifen, Imhoff Inc. CRD: 44469 | — | 5 | 0 | C | INACTIVE |
| Hanmi Securities, Inc. CRD: 25518 | — | 15 | 0 | D | INACTIVE |