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 |
|---|---|---|---|---|---|
| Hope Advisors, LLC CRD: 157748 | — | 0 | 0 | A | Unknown |
| Hopp Wealth Management CRD: 128831 | — | 0 | 0 | A | Unknown |
| Horace Mann Investors, Inc. CRD: 11643 | IL | 6 | 287 | B | Active |
| Horan Investments Corp. CRD: 42094 | — | 1 | 0 | B | INACTIVE |
| Horan Wealth, LLC CRD: 333974 | — | 0 | 2 | A | Unknown |
| Horizon Advisers CRD: 111983 | — | 0 | 0 | A | Unknown |
| Horizon Asset LLP CRD: 159944 | — | 0 | 0 | A | Unknown |
| Horizon Financial CRD: 321088 | — | 0 | 0 | A | Unknown |
| Horizon Financial CRD: 305239 | — | 0 | 12 | A | Unknown |
| Horizon Group, Inc. (the) CRD: 15978 | — | 0 | 0 | A | INACTIVE |
| Horizon Harvest Financial Planning CRD: 269969 | — | 0 | 1 | A | Unknown |
| Horizon Holding International LLP CRD: 287805 | — | 0 | 0 | A | Unknown |
| Horizon Ventures CRD: 162288 | — | 0 | 0 | A | Unknown |
| Horizon Wealth CRD: 333752 | — | 0 | 6 | A | Unknown |
| Horn, Hunter & Welch, Inc. CRD: 26097 | — | 0 | 0 | A | INACTIVE |
| Horner, Barksdale & Co. CRD: 2232 | — | 0 | 0 | A | INACTIVE |
| Hornet Management, LLC CRD: 167134 | — | 0 | 1 | A | Unknown |
| Horst, Roger Eugene CRD: 149458 | — | 0 | 0 | A | Unknown |
| Horton Point LLC CRD: 164750 | — | 0 | 0 | A | Unknown |
| Horton, Troy W. CRD: 155146 | — | 0 | 0 | A | Unknown |
| Horwich Securities CRD: 14072 | — | 0 | 0 | A | INACTIVE |
| Hosen FCV GP, Ltd. CRD: 319726 | — | 0 | 0 | A | Unknown |
| Hoskin Capital CRD: 310527 | — | 0 | 3 | A | Unknown |
| Hosking Partners LLP CRD: 173527 | — | 0 | 0 | A | Unknown |
| Hostone SA CRD: 306138 | — | 0 | 0 | A | Unknown |
| HOT Creek Capital, L.L.C. CRD: 162371 | — | 0 | 1 | A | Unknown |
| Hottinger CRD: 316515 | — | 0 | 0 | A | Unknown |
| Houchin, Adamson, L.L.C CRD: 42769 | — | 0 | 0 | A | INACTIVE |
| Houlihan Lokey CRD: 112214 | — | 0 | 0 | A | Unknown |
| Houlihan Lokey Capital, Inc. CRD: 17708 | CA | 2 | 14 | C | Active |
| Hound Partners CRD: 155551 | — | 0 | 1 | A | Unknown |
| Housatonic Partners CRD: 157618 | — | 0 | 1 | A | Unknown |
| House Hanover LLC CRD: 284838 | — | 0 | 1 | A | Unknown |
| House of Avery, Limited CRD: 13731 | — | 0 | 0 | A | INACTIVE |
| Houten Haley Financial LLC CRD: 334734 | — | 0 | 2 | A | Unknown |
| Hovde Group, LLC CRD: 25425 | IL | 1 | 7 | B | Active |
| HOW Women Venture CRD: 327144 | — | 0 | 1 | A | Unknown |
| Howard C. Hunt, Investment Advisor CRD: 151774 | — | 0 | 0 | A | Unknown |
| Howard Financial CRD: 155323 | — | 0 | 1 | A | Unknown |
| Howard, Lawson & Co., LLC CRD: 13540 | — | 0 | 0 | A | INACTIVE |
| Howe Barnes Hoefer & Arnett, Inc. CRD: 2240 | — | 21 | 0 | F | INACTIVE |
| Howe Financial Advisory, LLC CRD: 165709 | — | 0 | 1 | A | Unknown |
| Howe, Solomon & Hall, Inc. CRD: 13386 | — | 5 | 0 | C | INACTIVE |
| Howell, Andrew CRD: 103835 | — | 0 | 0 | A | INACTIVE |
| Howen, Joshua E CRD: 291248 | — | 0 | 0 | A | Unknown |
| Hoxton Ventures CRD: 322671 | — | 0 | 0 | A | Unknown |
| Hoxton Wealth USA LLC CRD: 307387 | — | 0 | 5 | A | Unknown |
| Hoyle Capital, LLC CRD: 304651 | — | 0 | 1 | A | Unknown |
| Hoylecohen, LLC CRD: 141125 | — | 0 | 0 | A | Unknown |
| Hoyt Securities CRD: 13739 | — | 0 | 0 | A | INACTIVE |