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 |
|---|---|---|---|---|---|
| Able Financial Planning CRD: 283753 | - | 0 | 2 | - | Unknown |
| Able Money LLC CRD: 321891 | - | 0 | 1 | - | Unknown |
| Able Research Technology Ltd CRD: 337608 | - | 0 | 1 | - | Unknown |
| Able Wealth Management LLC CRD: 298085 | - | 0 | 3 | - | Unknown |
| Ablemere Investment Advisors CRD: 269865 | - | 0 | 0 | - | Unknown |
| Ables, Iannone, Moore & Associates, Inc. CRD: 126942 | - | 0 | 1 | - | Unknown |
| ABN Amro Asia Inc. CRD: 37057 | - | 0 | 0 | A | INACTIVE |
| ABN Amro Capital Markets (USA) LLC CRD: 325235 | NY | 1 | 3 | B | Active |
| ABN Amro Clearing USA LLC CRD: 14020 | IL | 83 | 3 | F | Active |
| ABN Amro Incorporated CRD: 15776 | - | 55 | 0 | F | INACTIVE |
| ABN Amro Securities (USA) LLC CRD: 151796 | NJ | 1 | 2 | B | Active |
| ABN Amro Securities LLC CRD: 6540 | - | 18 | 0 | F | INACTIVE |
| Abner Herrman & Brock, LLC CRD: 8517 | - | 3 | 1 | C | INACTIVE |
| Aborn Investments, Inc. CRD: 4366 | - | 0 | 0 | A | INACTIVE |
| Abound Financial CRD: 327724 | - | 0 | 2 | - | Unknown |
| Abound Investments CRD: 151433 | - | 0 | 1 | - | Unknown |
| Abound Wealth Management, LLC CRD: 285903 | - | 0 | 4 | - | Unknown |
| Abound Wealth Strategies CRD: 305362 | - | 0 | 1 | - | Unknown |
| About Time Financial Planning CRD: 327989 | - | 0 | 1 | - | Unknown |
| Above & Beyond Investments, LLC CRD: 227786 | - | 0 | 1 | - | Unknown |
| Aboverock LLC CRD: 149132 | - | 0 | 0 | - | Unknown |
| ABP Family Office Advisory, LLC CRD: 282777 | - | 0 | 0 | - | Unknown |
| ABR Capital Partners, LLC CRD: 152121 | - | 0 | 1 | - | Unknown |
| ABR Dynamic Funds, LLC CRD: 171847 | - | 0 | 1 | - | Unknown |
| ABR Management LLC CRD: 155052 | - | 1 | 0 | B | INACTIVE |
| Abraaj Mauritius Limited CRD: 161904 | - | 0 | 0 | - | Unknown |
| Abraham & Co., Inc. CRD: 299085 | - | 0 | 6 | - | Unknown |
| Abraham & London Securities, Inc. CRD: 15962 | - | 0 | 0 | A | INACTIVE |
| Abraham and Sons, Incorporated CRD: 16952 | - | 0 | 0 | A | INACTIVE |
| Abraham Bernstein Associates,Inc CRD: 152875 | - | 0 | 0 | - | Unknown |
| Abraham Financial Advisors LLC CRD: 309707 | - | 0 | 0 | - | Unknown |
| Abraham Global Investments CRD: 173971 | - | 0 | 0 | - | Unknown |
| Abraham Trading Company CRD: 315318 | - | 0 | 2 | - | Unknown |
| Abraham, Robert Ralph JR CRD: 127627 | - | 0 | 2 | - | Unknown |
| Abram Asset Management CRD: 151265 | - | 0 | 1 | - | Unknown |
| Abramenko & Company, Inc. CRD: 21406 | - | 2 | 0 | B | INACTIVE |
| Abramowitz Asset Management, LLC CRD: 299103 | - | 0 | 0 | - | Unknown |
| Abrams Bison Investments, L.L.C. CRD: 137183 | - | 0 | 1 | - | Unknown |
| Abrams Securities, Inc. CRD: 7909 | - | 0 | 0 | A | INACTIVE |
| Abrams, Rodney Alan CRD: 33599 | - | 0 | 0 | A | INACTIVE |
| Abramson Financial, LLC CRD: 129966 | - | 0 | 0 | A | INACTIVE |
| Abrdn Alternative Funds Limited CRD: 149606 | - | 0 | 0 | - | Unknown |
| Abrdn Asia Limited CRD: 124509 | - | 0 | 0 | - | Unknown |
| Abrdn Australia Limited CRD: 110753 | - | 0 | 0 | - | Unknown |
| Abrdn Canada Limited CRD: 339308 | - | 0 | 1 | - | Unknown |
| Abrdn Etfs Advisors LLC CRD: 172736 | - | 0 | 0 | - | Unknown |
| Abrdn Hong Kong Limited CRD: 161828 | - | 0 | 0 | - | Unknown |
| Abrdn Inc. CRD: 111069 | - | 0 | 1 | - | Unknown |
| Abrdn Investments Ireland Limited CRD: 304189 | - | 0 | 0 | - | Unknown |
| Abri LLC CRD: 314832 | - | 0 | 1 | - | Unknown |