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 |
|---|---|---|---|---|---|
| Hannam & Co. CRD: 285803 | — | 0 | 0 | A | Unknown |
| Hanover (HNVR) CRD: 296767 | — | 0 | 1 | A | Unknown |
| Hanover Hill Capital Partners CRD: 165115 | — | 0 | 0 | A | Unknown |
| Hanover Hillcrest Holdings, LLC CRD: 129675 | — | 0 | 0 | A | Unknown |
| Hanover PFS CRD: 292846 | — | 0 | 0 | A | Unknown |
| Hanrow Securities Corp. CRD: 8320 | — | 0 | 0 | A | INACTIVE |
| Hansa Investments LLC CRD: 291760 | — | 0 | 1 | A | Unknown |
| Hanscomb, Charles L. CRD: 126702 | — | 0 | 0 | A | Unknown |
| Hanseatic Corporation CRD: 162751 | — | 0 | 1 | A | Unknown |
| Hansen, Nancy Beth CRD: 138944 | — | 0 | 0 | A | INACTIVE |
| Hanson & Hanson Incorporated CRD: 2129 | — | 0 | 0 | A | INACTIVE |
| Hantsch Stahl Securities, Inc. CRD: 14924 | — | 0 | 0 | A | INACTIVE |
| HAO Management Ltd CRD: 163532 | — | 0 | 0 | A | Unknown |
| HAP Trading, LLC CRD: 44257 | — | 10 | 0 | D | INACTIVE |
| Hapax Capital LLC CRD: 312588 | — | 0 | 0 | A | Unknown |
| Hapi CRD: 311868 | OR | 0 | 2 | A | Active |
| Hapoalim Securities USA, Inc. CRD: 266 | — | 39 | 0 | F | INACTIVE |
| Happyrich Capital CRD: 305410 | — | 0 | 1 | A | Unknown |
| Hara Capital LLC CRD: 315108 | — | 0 | 2 | A | Unknown |
| Harbay, Kessef & Co. CRD: 35308 | — | 5 | 0 | C | INACTIVE |
| Harbor Advisors CRD: 312432 | — | 0 | 1 | A | Unknown |
| Harbor Advisory Corporation CRD: 105151 | — | 0 | 4 | A | Unknown |
| Harbor Group International, LLC CRD: 285895 | — | 0 | 1 | A | Unknown |
| Harbor Hills Financial Advisors CRD: 312691 | — | 0 | 2 | A | Unknown |
| Harbor Hills Investment Management CRD: 173089 | — | 0 | 0 | A | Unknown |
| Harbor Horizon Financial, LLC CRD: 332911 | — | 0 | 1 | A | Unknown |
| Harbor Ithaka CRD: 170580 | — | 0 | 1 | A | Unknown |
| Harborvest, LLC CRD: 169948 | — | 0 | 0 | A | Unknown |
| Harbour Investments, Inc. CRD: 19258 | WI | 3 | 175 | B | Active |
| Hardcastle Trading USA L.L.C. CRD: 126497 | — | 3 | 0 | C | INACTIVE |
| Hardee Brothers CRD: 155598 | — | 0 | 0 | A | Unknown |
| Harding & Company CRD: 126053 | — | 0 | 1 | A | Unknown |
| Harding Advisory LLC CRD: 140041 | — | 0 | 0 | A | Unknown |
| Harding Loevner LP CRD: 104543 | — | 0 | 1 | A | Unknown |
| Harding Wealth, Inc. CRD: 282686 | — | 0 | 2 | A | Unknown |
| Harding/Hall, Inc. CRD: 12959 | — | 1 | 0 | B | INACTIVE |
| Hardtack IAS CRD: 172698 | — | 0 | 0 | A | Unknown |
| Hardy & Hardy Co LLC CRD: 145088 | — | 0 | 3 | A | Unknown |
| Hardy Reed, LLC CRD: 141024 | — | 0 | 9 | A | Unknown |
| Harfst and Associates, Inc. CRD: 145090 | — | 0 | 1 | A | Unknown |
| Hargett Hunter Capital Management, LLC CRD: 305623 | — | 0 | 1 | A | Unknown |
| Hargrave & Hopkins, Inc. CRD: 2133 | — | 0 | 0 | A | INACTIVE |
| Harlan Roberts, Inc. CRD: 14092 | — | 0 | 0 | A | INACTIVE |
| Harley Capital LLC CRD: 310046 | CT | 0 | 2 | A | Active |
| Harlig Financials CRD: 335800 | — | 0 | 1 | A | Unknown |
| Harmon & Co. LLC CRD: 132649 | — | 0 | 0 | A | INACTIVE |
| Harmon, Mark a CRD: 36701 | — | 1 | 0 | B | INACTIVE |
| Harmony Wealth CRD: 314817 | — | 0 | 1 | A | Unknown |
| Harnen, Neil F. CRD: 46135 | — | 0 | 0 | A | INACTIVE |
| Harness Wealth CRD: 299795 | — | 0 | 1 | A | Unknown |