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 |
|---|---|---|---|---|---|
| Harold C. Brown & Co., Inc. CRD: 1330 | — | 0 | 0 | A | INACTIVE |
| Harold C. Brown & Co., Inc. CRD: 35222 | — | 0 | 0 | A | INACTIVE |
| Harold C. Brown & Co., LLC CRD: 126589 | — | 0 | 0 | A | INACTIVE |
| Harold Pasternack CRD: 2986 | — | 0 | 0 | A | INACTIVE |
| Harper & Dolan, L.L.C. CRD: 103860 | — | 0 | 0 | A | INACTIVE |
| Harper Global Group CRD: 337852 | — | 0 | 0 | A | Unknown |
| Harper Wealth CRD: 313239 | — | 0 | 0 | A | Unknown |
| Harpeth Investments, Inc. CRD: 13576 | — | 0 | 0 | A | INACTIVE |
| Harpo Trading, LLC CRD: 119548 | — | 0 | 0 | A | INACTIVE |
| Harpoon Management, LLC CRD: 305129 | — | 0 | 1 | A | Unknown |
| Harris & Associates CRD: 134066 | — | 0 | 1 | A | Unknown |
| Harris and Harris Wealth Management Group, LLC CRD: 149577 | — | 0 | 1 | A | Unknown |
| Harris Consulting CRD: 286379 | — | 0 | 0 | A | Unknown |
| Harris Harper Counsel, Inc. CRD: 121746 | — | 0 | 2 | A | Unknown |
| Harris Investorline Inc. CRD: 6362 | — | 1 | 0 | B | INACTIVE |
| Harris Nesbitt Corp. CRD: 7299 | — | 3 | 0 | C | INACTIVE |
| Harris Preston & Partners, LLC CRD: 160068 | — | 0 | 1 | A | Unknown |
| Harris Roja Corporation CRD: 25611 | — | 0 | 0 | A | INACTIVE |
| Harris Williams CRD: 113930 | VA | 1 | 13 | B | Active |
| Harris | Oakmark CRD: 106960 | — | 0 | 2 | A | Unknown |
| Harrisdirect LLC CRD: 42159 | — | 3 | 0 | B | INACTIVE |
| Harrison & Horlick CRD: 145605 | — | 0 | 0 | A | Unknown |
| Harrison Capital CRD: 166854 | — | 0 | 0 | A | Unknown |
| Harrison Financial CRD: 129046 | — | 0 | 0 | A | Unknown |
| Harrison Management CRD: 111110 | — | 0 | 0 | A | Unknown |
| Harrison, James & Co. CRD: 17515 | — | 0 | 0 | A | INACTIVE |
| Harrow Management LLC CRD: 315805 | — | 0 | 0 | A | Unknown |
| Harry B. Banzhaf & Co. CRD: 113172 | — | 0 | 0 | A | Unknown |
| Harry C. Bailey CRD: 44165 | — | 0 | 0 | A | INACTIVE |
| Harry R. Gardner & Co. CRD: 390 | — | 0 | 0 | A | INACTIVE |
| Harry S. Bower, LLC CRD: 140303 | — | 0 | 1 | A | Unknown |
| Harson Capital, LLC CRD: 328979 | — | 0 | 0 | A | Unknown |
| Hart Financial, LLC CRD: 116169 | — | 0 | 0 | A | Unknown |
| Hart Financial, LLC CRD: 291530 | — | 0 | 1 | A | Unknown |
| Hart Securities, Inc. CRD: 28389 | — | 0 | 0 | A | INACTIVE |
| Hartford Funds CRD: 130373 | — | 0 | 1 | A | Unknown |
| Hartford Funds CRD: 147746 | — | 0 | 41 | A | Unknown |
| Hartley Advisors Corp. CRD: 130769 | — | 0 | 1 | A | Unknown |
| Hartman, Jeremy CRD: 152508 | — | 0 | 1 | A | Unknown |
| Hartman, Joseph John CRD: 33892 | — | 4 | 0 | C | INACTIVE |
| Hartridge House Securities, Inc. CRD: 15745 | — | 0 | 0 | A | INACTIVE |
| Hartshorne Group, LLC CRD: 150897 | — | 0 | 1 | A | Unknown |
| Hartstreet LLC CRD: 283243 | — | 0 | 0 | A | Unknown |
| Hartwell & Company CRD: 322723 | — | 0 | 2 | A | Unknown |
| Hartwood Investments CRD: 109295 | — | 0 | 0 | A | Unknown |
| Harvest Horizon Wealth Strategies CRD: 334859 | — | 0 | 1 | A | Unknown |
| Harvest Management, L.L.C. CRD: 124477 | — | 0 | 1 | A | Unknown |
| Harvest Money | Invest Your Faith CRD: 304360 | — | 0 | 1 | A | Unknown |
| Harvest OAK Capital CRD: 150073 | — | 0 | 0 | A | Unknown |
| Harvest Partners, LP CRD: 158284 | — | 0 | 1 | A | Unknown |