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 |
|---|---|---|---|---|---|
| Broadbill Investment Partners LLC CRD: 156010 | - | 0 | 0 | - | Unknown |
| Broadcap Trading, LLC CRD: 155844 | - | 1 | 0 | B | INACTIVE |
| Broadchild Securities Corp. CRD: 7702 | - | 0 | 0 | A | INACTIVE |
| Broadcore Investments LP CRD: 165674 | - | 0 | 1 | - | Unknown |
| Broadcort Capital Corp. CRD: 13456 | - | 6 | 0 | C | INACTIVE |
| Broadcrest Asset Management, LLC CRD: 287590 | - | 0 | 1 | - | Unknown |
| Broaden Wealth LLC CRD: 338314 | - | 0 | 1 | - | Unknown |
| Broadfield Capital Management, LLC CRD: 325282 | - | 0 | 0 | - | Unknown |
| Broadfin Capital, LLC CRD: 156900 | - | 0 | 0 | - | Unknown |
| Broadgate Capital LLC CRD: 47979 | - | 1 | 0 | B | INACTIVE |
| Broadhaven Capital Partners GP I, LLC CRD: 152971 | - | 0 | 0 | - | Unknown |
| Broadhaven Securities LLC CRD: 157804 | IL | 0 | 3 | A | Active |
| Broadhaven Ventures GP I, LLC CRD: 304157 | - | 0 | 0 | - | Unknown |
| Broadhurst Financial Advisors, Inc. CRD: 132332 | - | 0 | 1 | - | Unknown |
| Broadlake Financial Management CRD: 105057 | - | 0 | 2 | - | Unknown |
| Broadleaf Partners, LLC CRD: 137433 | - | 0 | 2 | - | Unknown |
| Broadlight Capital Management, LLC CRD: 315015 | - | 0 | 1 | - | Unknown |
| Broadmark Asset Management LLC CRD: 109422 | - | 0 | 1 | - | Unknown |
| Broadmark Capital Corporation CRD: 18812 | - | 0 | 0 | A | INACTIVE |
| Broadmark Private Reit Management, LLC CRD: 307244 | - | 0 | 0 | - | Unknown |
| Broadmeadow Capital, LLC CRD: 174056 | - | 0 | 0 | - | Unknown |
| Broadmoor Capital Corporation CRD: 16630 | - | 0 | 0 | A | INACTIVE |
| Broadoak Asset Management, LLC CRD: 148901 | - | 0 | 2 | - | Unknown |
| Broadoak Partners, LLC CRD: 143527 | MD | 0 | 3 | A | Active |
| Broadpark Advisors, LLC CRD: 282929 | - | 0 | 2 | - | Unknown |
| Broadpoint Amtech, Inc. CRD: 121456 | - | 0 | 0 | A | INACTIVE |
| Broadpoint Descap CRD: 14997 | - | 0 | 0 | A | INACTIVE |
| Broadpoint Financial, LLC CRD: 171447 | - | 0 | 0 | - | Unknown |
| Broadreach Asset Management CRD: 165152 | - | 0 | 0 | - | Unknown |
| Broadreach Capital, LLC CRD: 142505 | - | 0 | 1 | - | Unknown |
| Broadridge Business Process Outsourcing, LLC CRD: 114212 | NY | 0 | 6 | A | Active |
| Broadriver Asset Management, L.P. CRD: 155792 | - | 0 | 1 | - | Unknown |
| Broadscale Group LLC CRD: 307523 | - | 0 | 1 | - | Unknown |
| Broadshore Capital Partners, LLC CRD: 119200 | - | 0 | 1 | - | Unknown |
| Broadside Wealth CRD: 342220 | - | 0 | 1 | - | Unknown |
| Broadsky Partners CRD: 174197 | - | 0 | 0 | - | Unknown |
| Broadspan Asset Management L.L.C. CRD: 286303 | - | 0 | 0 | - | Unknown |
| Broadspan Asset Management LLC CRD: 329579 | - | 0 | 1 | - | Unknown |
| Broadspan Securities LLC CRD: 114423 | FL | 0 | 2 | A | Active |
| Broadstone Asset Management, LLC CRD: 281847 | - | 0 | 0 | - | Unknown |
| Broadstreet Financial Advisers LLC CRD: 130311 | - | 0 | 1 | - | Unknown |
| Broadsword Capital, LLC CRD: 171171 | - | 0 | 0 | - | Unknown |
| Broadtree Partners Management, LLC CRD: 337682 | - | 0 | 1 | - | Unknown |
| Broadtree Partners, LLC CRD: 288868 | - | 0 | 0 | - | Unknown |
| Broadvail Capital Partners, LLC CRD: 199514 | - | 0 | 1 | - | Unknown |
| Broadview Advisors, LLC CRD: 111494 | - | 0 | 0 | - | Unknown |
| Broadview Asset Management LLC CRD: 136808 | - | 0 | 0 | - | Unknown |
| Broadview Financial Advisors, LLC CRD: 173828 | - | 0 | 0 | - | Unknown |
| Broadview Financial Management, LLC CRD: 143550 | - | 0 | 1 | - | Unknown |
| Broadview International LLC CRD: 27265 | - | 2 | 0 | B | INACTIVE |