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 |
|---|---|---|---|---|---|
| Hennepin Partners LLC CRD: 153034 | MN | 0 | 2 | A | Active |
| Hennessey & Co., L.L.C. CRD: 41195 | — | 0 | 0 | A | INACTIVE |
| Hennion & Walsh, Inc. CRD: 25766 | NJ | 18 | 3 | D | Active |
| Henries Securities CRD: 306152 | NY | 0 | 2 | A | Active |
| Henry & Hannay Wealth Management LLC CRD: 155056 | — | 0 | 0 | A | Unknown |
| Henry + Horne Wealth Management CRD: 289248 | — | 0 | 0 | A | Unknown |
| Henry B. Murphy JR. CPA CRD: 129154 | — | 0 | 0 | A | Unknown |
| Henry Bragg & Co. CRD: 311388 | — | 0 | 2 | A | Unknown |
| Henry F. Swift & Co. CRD: 3548 | — | 0 | 0 | A | INACTIVE |
| Henry H. Armstrong Associates, Inc. CRD: 105510 | — | 0 | 1 | A | Unknown |
| Henry Krieger & Co. CRD: 2477 | — | 0 | 0 | A | INACTIVE |
| Henry Krieger/DBI L.P. CRD: 25814 | — | 0 | 0 | A | INACTIVE |
| Henry Krieger/DBI, L.P. CRD: 23724 | — | 0 | 0 | A | INACTIVE |
| Henry Krist CRD: 116154 | — | 0 | 0 | A | Unknown |
| Henry Thomas O'hara CRD: 108349 | — | 0 | 0 | A | Unknown |
| Henssler Financial CRD: 107866 | — | 0 | 0 | A | Unknown |
| Henssler Financial CRD: 104545 | — | 0 | 7 | A | Unknown |
| Hentch Solutions CRD: 312487 | — | 0 | 1 | A | Unknown |
| HEP Partners LLC CRD: 161386 | — | 0 | 1 | A | Unknown |
| Hepfner Securities Corp. CRD: 15645 | — | 0 | 0 | A | INACTIVE |
| Hepner Advisory Services, Inc CRD: 121737 | — | 0 | 0 | A | Unknown |
| HER Securities, Inc. CRD: 16266 | — | 0 | 0 | A | INACTIVE |
| Herbert Capital Management CRD: 310399 | — | 0 | 0 | A | Unknown |
| Herbert J. Sims & Co, Inc. CRD: 3420 | CT | 10 | 13 | B | Active |
| Herbert Young Securities, Inc. CRD: 7729 | — | 0 | 0 | A | INACTIVE |
| Hercules Investments CRD: 304719 | — | 0 | 0 | A | Unknown |
| Hereford Financial CRD: 312234 | — | 0 | 0 | A | Unknown |
| Hereth, ORR & Jones, Inc. CRD: 7210 | — | 0 | 0 | A | INACTIVE |
| Heretic Studio, LLC CRD: 338307 | — | 0 | 0 | A | Unknown |
| Heritage Advisory Group, Inc. CRD: 125633 | — | 0 | 0 | A | Unknown |
| Heritage Capital Corp. CRD: 18176 | — | 0 | 0 | A | INACTIVE |
| Heritage Hill Adviser CRD: 312077 | — | 0 | 1 | A | Unknown |
| Heritage Holding CRD: 331677 | — | 0 | 1 | A | Unknown |
| Heritage House Asset Management CRD: 125868 | — | 0 | 2 | A | Unknown |
| Heritage Inc CRD: 284201 | — | 0 | 1 | A | Unknown |
| Heritage Investments, Inc. CRD: 11126 | — | 0 | 0 | A | INACTIVE |
| Heritage Point Partners CRD: 322601 | — | 0 | 1 | A | Unknown |
| Heritage Wealth CRD: 315288 | — | 0 | 1 | A | Unknown |
| Herman J. Hochman & Company CRD: 2214 | — | 0 | 0 | A | INACTIVE |
| Herman, Robert J. CRD: 39417 | — | 0 | 0 | A | INACTIVE |
| Hermes BPK Limited CRD: 168683 | — | 0 | 0 | A | Unknown |
| Hermes European Equities Limited CRD: 152630 | — | 0 | 0 | A | Unknown |
| Hermes GPE (USA) Inc CRD: 166839 | — | 0 | 1 | A | Unknown |
| Hermes GPE LLP CRD: 151848 | — | 0 | 0 | A | Unknown |
| Hermitage Wealth CRD: 333235 | — | 0 | 1 | A | Unknown |
| Hermosa Advisors CRD: 306330 | — | 0 | 1 | A | Unknown |
| Hero Asset Management CRD: 335707 | — | 0 | 2 | A | Unknown |
| Hero Investors, LLC CRD: 172790 | — | 0 | 2 | A | Unknown |
| Heron Finance CRD: 327608 | — | 0 | 2 | A | Unknown |
| Heron Wealth LLC CRD: 339109 | — | 0 | 1 | A | Unknown |