Broker-Dealer Firms
80,028 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 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
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 |
|---|---|---|---|---|---|
| Abbuhl, Gary LYNN CRD: 164515 | - | 0 | 0 | - | Unknown |
| Abby Advisors LLC CRD: 334101 | - | 0 | 1 | - | Unknown |
| Abby Kovach Financial Planning, LLC CRD: 152773 | - | 0 | 1 | - | Unknown |
| ABC Arbitrage Asset Management S.A. CRD: 161564 | - | 0 | 0 | - | Unknown |
| ABC Wealth Inc CRD: 284592 | - | 0 | 1 | - | Unknown |
| ABC Wealth PR LLC CRD: 330603 | - | 0 | 0 | - | Unknown |
| ABD Retirement Services, Inc. CRD: 167641 | - | 0 | 22 | A | INACTIVE |
| Abdiel Advisors LLC CRD: 285561 | - | 0 | 0 | - | Unknown |
| Abdiel Advisors, LLC CRD: 317729 | - | 0 | 0 | - | Unknown |
| Abdiel Capital Advisors, LP CRD: 161410 | - | 0 | 1 | - | Unknown |
| Abedon, Limited CRD: 16445 | - | 0 | 0 | A | INACTIVE |
| Abel Advisory CRD: 112724 | - | 0 | 0 | - | Unknown |
| Abel CIO Inc. CRD: 312800 | - | 0 | 0 | - | Unknown |
| Abel Hall, LLC CRD: 302076 | - | 0 | 3 | - | Unknown |
| Abel's Hill Capital Corp. CRD: 36366 | - | 0 | 0 | A | INACTIVE |
| Abel-Behnke Corporation CRD: 39811 | - | 0 | 0 | A | INACTIVE |
| Abel/Noser Corp. CRD: 7537 | - | 8 | 0 | D | INACTIVE |
| Abelow Ihasz & Co. CRD: 10706 | - | 0 | 0 | A | INACTIVE |
| Abelson & Company, LLC CRD: 125559 | - | 0 | 0 | - | Unknown |
| Aber Investments CRD: 142835 | - | 0 | 1 | - | Unknown |
| Aberdeen Capital, Inc. CRD: 23751 | - | 0 | 0 | A | INACTIVE |
| Aberdeen Cross Financial, LLC CRD: 172363 | - | 0 | 0 | - | Unknown |
| Aberdeen Fund Distributors, LLC CRD: 146230 | PA | 0 | 5 | A | Active |
| Aberdeen Private Equity Advisers Limited CRD: 162747 | - | 0 | 0 | - | Unknown |
| Aberdeen Private Equity Managers Limited CRD: 174318 | - | 0 | 0 | - | Unknown |
| Aberdeen Securities CRD: 6683 | - | 1 | 0 | B | INACTIVE |
| Aberdour Investments CRD: 299195 | - | 0 | 1 | - | Unknown |
| Aberforth CRD: 331982 | - | 0 | 0 | - | Unknown |
| Abernathy Group II LLC CRD: 152401 | - | 0 | 1 | - | Unknown |
| Abernathy Investment Management, LLC CRD: 134673 | - | 0 | 0 | - | Unknown |
| Aberrant Capital LP CRD: 325843 | - | 0 | 0 | - | Unknown |
| Abfs Securities, Inc. CRD: 38525 | - | 0 | 0 | A | INACTIVE |
| ABG Consultants CRD: 131129 | - | 0 | 4 | - | Unknown |
| ABG Financial Services, Inc. CRD: 170225 | - | 0 | 1 | - | Unknown |
| ABG Portfolio Strategies, Inc. CRD: 111116 | - | 0 | 0 | - | Unknown |
| ABG Retirement Plan Investment Services CRD: 117678 | - | 0 | 0 | - | Unknown |
| ABG Sundal Collier Inc. CRD: 30605 | NY | 1 | 2 | B | Active |
| ABG, LLC CRD: 167190 | NY | 0 | 2 | A | Active |
| ABI Capital Management, LLC CRD: 104150 | - | 0 | 0 | A | INACTIVE |
| ABI Securities, Inc. CRD: 24397 | - | 0 | 0 | A | INACTIVE |
| Abiel-Bolles, Inc - Investment Bankers CRD: 10739 | - | 0 | 0 | A | INACTIVE |
| Ability First CRD: 300076 | - | 0 | 2 | - | Unknown |
| Abinger Partners LLC CRD: 341372 | - | 0 | 1 | - | Unknown |
| Abingworth Management Inc. CRD: 157466 | - | 0 | 0 | - | Unknown |
| ABK Management LLC CRD: 270019 | - | 0 | 1 | - | Unknown |
| ABL Advisors, LLC CRD: 296457 | - | 0 | 0 | - | Unknown |
| ABL Trading, L.L.C. CRD: 115608 | - | 0 | 0 | A | INACTIVE |
| Able & Strong Advisors, Inc. CRD: 130069 | - | 0 | 4 | - | Unknown |
| Able Alpha CRD: 148873 | - | 0 | 0 | - | Unknown |
| Able Financial Group, LLC CRD: 323646 | - | 0 | 1 | - | Unknown |