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 |
|---|---|---|---|---|---|
| Bristol Securities, Inc. CRD: 15485 | - | 0 | 0 | A | INACTIVE |
| Bristol Square Capital LLC CRD: 284898 | - | 0 | 0 | - | Unknown |
| Bristol Wealth Group CRD: 330145 | - | 0 | 2 | - | Unknown |
| Britannica Capital Management Limited CRD: 318818 | - | 0 | 1 | - | Unknown |
| Brite Advisors PTY Ltd CRD: 288092 | - | 0 | 0 | - | Unknown |
| Brite Advisors USA, Inc. CRD: 155775 | - | 0 | 0 | - | Unknown |
| Brite Investments USA, LLC CRD: 288370 | - | 0 | 0 | - | Unknown |
| Britehorn Securities CRD: 36402 | CO | 3 | 8 | B | Active |
| Briteline Wealth Management Group CRD: 154063 | - | 0 | 0 | - | Unknown |
| Britson Investments, Inc. CRD: 14328 | - | 0 | 0 | A | INACTIVE |
| Brittain Securities, Inc. CRD: 23511 | - | 0 | 0 | A | INACTIVE |
| Brittany Capital Group, Inc. CRD: 103712 | - | 0 | 0 | A | INACTIVE |
| Brittany Wealth Management CRD: 168553 | - | 0 | 0 | - | Unknown |
| Brittenum & Associates, Inc. CRD: 7179 | - | 0 | 0 | A | INACTIVE |
| Brittingham, Inc. CRD: 1317 | - | 0 | 0 | A | INACTIVE |
| Britton Hill Holdings LLC CRD: 171864 | - | 0 | 0 | - | Unknown |
| Brixey & Meyer Capital LLC CRD: 299465 | - | 0 | 1 | - | Unknown |
| Brixton Capital Wealth Advisors, LLC CRD: 288810 | - | 0 | 2 | - | Unknown |
| Briza Capital Advisors, LLC CRD: 294026 | - | 0 | 0 | - | Unknown |
| Brizo Capital, LP CRD: 298102 | - | 0 | 1 | - | Unknown |
| BRJ Wealth Management CRD: 323328 | - | 0 | 0 | - | Unknown |
| BRK Wealth Management LLC CRD: 325094 | - | 0 | 1 | - | Unknown |
| BRM Investment Management LLC CRD: 323439 | - | 0 | 0 | - | Unknown |
| Broad BAY Capital Management LP CRD: 284341 | - | 0 | 1 | - | Unknown |
| Broad Brook Financial CRD: 173835 | - | 0 | 1 | - | Unknown |
| Broad Cove Capital CRD: 305393 | - | 0 | 0 | - | Unknown |
| Broad Horizon Capital, LLC CRD: 341868 | - | 0 | 1 | - | Unknown |
| Broad Investment Securities LLC CRD: 290775 | - | 0 | 0 | - | Unknown |
| Broad Peak Investment Advisers PTE Ltd CRD: 162749 | - | 0 | 0 | - | Unknown |
| Broad Peak Investment Advisers PTE. Ltd. CRD: 297771 | - | 0 | 0 | - | Unknown |
| Broad Peak Investment Management Ltd CRD: 162134 | - | 0 | 0 | - | Unknown |
| Broad Peak Investment Management Ltd. CRD: 297770 | - | 0 | 0 | - | Unknown |
| Broad Reach Capital LLC CRD: 144686 | - | 0 | 2 | - | Unknown |
| Broad Reach Capital Management, Inc CRD: 166448 | - | 0 | 0 | - | Unknown |
| Broad Reach Capital, Inc. CRD: 10045 | - | 0 | 0 | A | INACTIVE |
| Broad Reach Investment Management (US) LLC CRD: 323661 | - | 0 | 1 | - | Unknown |
| Broad Reach Investment Management LLP CRD: 285755 | - | 0 | 0 | - | Unknown |
| Broad Reach Wealth Management, LLC CRD: 146128 | - | 0 | 1 | - | Unknown |
| Broad RUN Investment Management, LLC CRD: 165067 | - | 0 | 1 | - | Unknown |
| Broad SKY Partners LLC CRD: 317966 | - | 0 | 1 | - | Unknown |
| Broad Street Capital Management CRD: 158662 | - | 0 | 0 | - | Unknown |
| Broad Street Capital Markets, LLC CRD: 104026 | NJ | 1 | 3 | B | Active |
| Broad Street Planning, LLC CRD: 301462 | - | 0 | 0 | - | Unknown |
| Broad Street Securities Corporation CRD: 13430 | - | 0 | 0 | A | INACTIVE |
| Broad Street Securities Group, LLC CRD: 153853 | - | 1 | 0 | B | INACTIVE |
| Broad Street Securities, Inc. CRD: 36101 | - | 11 | 0 | D | INACTIVE |
| Broad Wealth Management, Inc. CRD: 125479 | - | 0 | 1 | - | Unknown |
| Broad, Michael CRD: 128514 | - | 0 | 0 | - | Unknown |
| Broadarch Capital, LLC CRD: 163837 | - | 0 | 0 | - | Unknown |
| Broadband Capital Management, LLC CRD: 48001 | - | 4 | 0 | C | INACTIVE |