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 |
|---|---|---|---|---|---|
| Harvest USA CRD: 165614 | — | 1 | 0 | B | INACTIVE |
| Harvey Capital Partners, L.P. CRD: 327590 | — | 0 | 1 | A | Unknown |
| Harvey Management LLC CRD: 166120 | — | 0 | 0 | A | Unknown |
| Harvey Merson CRD: 129290 | — | 0 | 0 | A | Unknown |
| Harvey Partners, LLC CRD: 160681 | — | 0 | 1 | A | Unknown |
| Hasan Growney Co. Inc. CRD: 17137 | — | 0 | 0 | A | INACTIVE |
| Hash Space LLC CRD: 331054 | — | 0 | 1 | A | Unknown |
| Hash3 LLC CRD: 326205 | — | 0 | 1 | A | Unknown |
| Hasi Securities LLC CRD: 154669 | MD | 0 | 5 | A | Active |
| Hassin, Joseph CRD: 131090 | — | 0 | 0 | A | Unknown |
| Hasson Investments CRD: 158874 | — | 0 | 0 | A | Unknown |
| Hasten Consulting CRD: 334958 | — | 0 | 1 | A | Unknown |
| Hatcher & Company CRD: 7182 | — | 0 | 0 | A | INACTIVE |
| Hatefi, NMN Reza CRD: 112034 | — | 0 | 0 | A | INACTIVE |
| Hathaway Advisory CRD: 337833 | — | 0 | 1 | A | Unknown |
| Hather, Robert K CRD: 139951 | — | 0 | 1 | A | Unknown |
| Hauldren, Ryan T CRD: 112574 | — | 1 | 0 | B | INACTIVE |
| Hauser & Co. CRD: 13879 | — | 0 | 0 | A | INACTIVE |
| HAV Capital CRD: 166771 | — | 0 | 0 | A | Unknown |
| Havaplan Financial CRD: 285636 | — | 0 | 1 | A | Unknown |
| Havcor, Inc. CRD: 15015 | — | 0 | 0 | A | INACTIVE |
| Have RIA, Inc. CRD: 327137 | — | 0 | 1 | A | Unknown |
| Haven Capital Group CRD: 149641 | — | 0 | 1 | A | Unknown |
| Haven Money CRD: 288696 | — | 0 | 0 | A | Unknown |
| Haven Private CRD: 329012 | — | 0 | 1 | A | Unknown |
| Haven Wealth Group CRD: 148099 | — | 0 | 3 | A | Unknown |
| Havens Advisors CRD: 111333 | — | 0 | 0 | A | Unknown |
| Haviland & Sams, LLC CRD: 127175 | — | 0 | 1 | A | Unknown |
| Hawaii Securities Headquarters, Inc. CRD: 10456 | — | 0 | 0 | A | INACTIVE |
| Hawk Advisory LLC CRD: 332571 | — | 0 | 1 | A | Unknown |
| Hawk100 CRD: 130927 | — | 0 | 1 | A | Unknown |
| Hawke Financial Group CRD: 301733 | — | 0 | 3 | A | Unknown |
| Hawke Ventures CRD: 314920 | — | 0 | 0 | A | Unknown |
| Hawkes Peak Partners, LLC CRD: 336325 | — | 0 | 1 | A | Unknown |
| Hawkey, John Francis CRD: 43501 | — | 1 | 0 | B | INACTIVE |
| Hawkeye Partners, LP CRD: 134601 | — | 0 | 1 | A | Unknown |
| Hawkins Capital L.P. CRD: 129852 | — | 0 | 0 | A | Unknown |
| Hawks I, LLC CRD: 297301 | — | 0 | 0 | A | Unknown |
| Hawks Ventures CRD: 324036 | — | 0 | 0 | A | Unknown |
| Hawktail, LLC CRD: 299032 | — | 0 | 1 | A | Unknown |
| Hawley Advisors CRD: 139335 | — | 0 | 2 | A | Unknown |
| Hawsgoodwin Wealth CRD: 165771 | — | 0 | 0 | A | Unknown |
| Hawthorne Company CRD: 15881 | — | 0 | 0 | A | INACTIVE |
| Hawtree Advisory Group, LLC CRD: 124492 | — | 0 | 2 | A | Unknown |
| Hayden & Associates CRD: 14299 | — | 0 | 0 | A | INACTIVE |
| Hayden Burrus CRD: 277167 | — | 0 | 0 | A | Unknown |
| Hayden Capital CRD: 283201 | — | 0 | 1 | A | Unknown |
| Hayden Harper Wealth Advisory, LLC CRD: 152091 | — | 0 | 1 | A | Unknown |
| Hayden Royal CRD: 170037 | — | 0 | 0 | A | Unknown |
| Hayden Stone & Co., LLC CRD: 150872 | — | 1 | 0 | B | INACTIVE |