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 |
|---|---|---|---|---|---|
| Broadview Management, LLC CRD: 334073 | - | 0 | 1 | - | Unknown |
| Broadview Real Estate Partners, LLC CRD: 297775 | - | 0 | 1 | - | Unknown |
| Broadview Wealth Management, LLC CRD: 174429 | - | 0 | 1 | - | Unknown |
| Broadview Wealth Partners CRD: 335028 | - | 0 | 1 | - | Unknown |
| Broadwater Advisors, LLC CRD: 286577 | - | 0 | 0 | - | Unknown |
| Broadwater Capital Management LLC CRD: 125509 | - | 0 | 2 | - | Unknown |
| Broadway Advisor Group CRD: 324281 | - | 0 | 1 | - | Unknown |
| Broadway Asset Management, LLC CRD: 142954 | - | 0 | 0 | - | Unknown |
| Broadway Brokerage Services, Inc. CRD: 16936 | - | 1 | 0 | B | INACTIVE |
| Broadway Financial Investment Services Corp. CRD: 23906 | - | 0 | 0 | A | INACTIVE |
| Broadway Financial Management LLC CRD: 155795 | - | 0 | 1 | - | Unknown |
| Broadway Financial Services Inc. CRD: 15360 | - | 0 | 0 | A | INACTIVE |
| Broadway Securities, Inc. CRD: 21808 | - | 0 | 0 | A | INACTIVE |
| Broadway Trading, LLC CRD: 42429 | - | 3 | 0 | C | INACTIVE |
| Broadway Wealth Solutions CRD: 291753 | - | 0 | 1 | - | Unknown |
| Broadwealth LLC CRD: 304356 | - | 0 | 1 | - | Unknown |
| Broadwing Capital Advisors, Inc. CRD: 127513 | - | 0 | 1 | - | Unknown |
| Broadwing Capital Management LLC CRD: 328881 | - | 0 | 1 | - | Unknown |
| Broadwood Capital, Inc CRD: 159286 | - | 0 | 1 | - | Unknown |
| Brocade Advisors, LLC CRD: 283277 | - | 0 | 0 | - | Unknown |
| Brock Asset Management CRD: 116791 | - | 0 | 1 | - | Unknown |
| Brock Fiduciary Services LLC CRD: 153055 | - | 0 | 1 | - | Unknown |
| Brock Hill Wealth Management CRD: 324946 | - | 0 | 3 | - | Unknown |
| Brock Pond Capital Partners LLC CRD: 340414 | - | 0 | 1 | - | Unknown |
| Brock Securities Corporation CRD: 6892 | - | 0 | 0 | A | INACTIVE |
| Brock Securities LLC CRD: 122156 | NY | 1 | 2 | B | Active |
| Brockelsby Investment Services CRD: 171595 | - | 0 | 1 | - | Unknown |
| Brockenbrough CRD: 105142 | - | 0 | 10 | - | Unknown |
| Brockett Tamny & Co. Incorporated CRD: 30778 | - | 0 | 0 | A | INACTIVE |
| Brockington Securities, Inc. CRD: 37438 | - | 5 | 0 | C | INACTIVE |
| Brockton Capital LLP CRD: 161149 | - | 0 | 0 | - | Unknown |
| Brockway Moran & Partners, Inc. CRD: 156966 | - | 0 | 0 | - | Unknown |
| Broco Partners, L.P. CRD: 35611 | - | 0 | 0 | A | INACTIVE |
| Brode Management Group Ltd CRD: 104941 | - | 0 | 0 | - | Unknown |
| Broder & Company Incorporated CRD: 20018 | - | 0 | 0 | A | INACTIVE |
| Brodie Wealth Management CRD: 337256 | - | 0 | 1 | - | Unknown |
| Brodis Securities Incorporated CRD: 1135 | - | 0 | 0 | A | INACTIVE |
| Brogan Asset Management, LLC CRD: 336800 | - | 0 | 1 | - | Unknown |
| Brogan Financial CRD: 133623 | - | 0 | 2 | - | Unknown |
| Brogan Group Investment Advisors LLC CRD: 151924 | - | 0 | 0 | - | Unknown |
| Brohl Financial LLC CRD: 339352 | - | 0 | 1 | - | Unknown |
| Broidy Wealth Advisors, LLC CRD: 155615 | - | 0 | 0 | - | Unknown |
| Brokaw Rice Investment Advisors, Incorporated CRD: 141533 | - | 0 | 1 | - | Unknown |
| Broken Investing, LLC CRD: 337292 | - | 0 | 1 | - | Unknown |
| Broker Dealer Financial Services Corp. CRD: 8073 | - | 6 | 0 | C | INACTIVE |
| Broker ONE CRD: 121219 | - | 0 | 3 | - | Unknown |
| Broker Xpress CRD: 125921 | - | 1 | 0 | B | INACTIVE |
| Brokerage Administrators Corporation CRD: 37432 | - | 2 | 0 | B | INACTIVE |
| Brokerage Design & Development, Inc. CRD: 18204 | - | 0 | 0 | A | INACTIVE |
| Brokerage Specialists CRD: 291011 | - | 0 | 1 | - | Unknown |