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 |
|---|---|---|---|---|---|
| Brookfield Private Advisors LLC CRD: 151423 | NY | 0 | 8 | A | Active |
| Brookfield Private Wealth LLC CRD: 313390 | NY | 0 | 4 | A | Active |
| Brookfield Public Securities Group LLC CRD: 110497 | - | 0 | 1 | - | Unknown |
| Brookfield Renewable Energy Group LLC CRD: 316590 | - | 0 | 0 | - | Unknown |
| Brookfield Securities LLC CRD: 327792 | NY | 0 | 2 | A | Active |
| Brookfield Securities, Inc. CRD: 42313 | - | 2 | 0 | B | INACTIVE |
| Brookhaven Asset Management LLC CRD: 158587 | - | 0 | 0 | - | Unknown |
| Brookhaven Capital Group CRD: 312454 | - | 0 | 1 | - | Unknown |
| Brookhill Securities Corp. CRD: 10257 | - | 0 | 0 | A | INACTIVE |
| Brookhollow Capital Corporation CRD: 31182 | - | 0 | 0 | A | INACTIVE |
| Brookhouse Advisors CRD: 287837 | - | 0 | 1 | - | Unknown |
| Brooklands CRD: 286221 | - | 0 | 0 | - | Unknown |
| Brooklands Capital Strategies BD, LP CRD: 281951 | CA | 0 | 2 | A | Active |
| Brooklands Capital Strategies LP CRD: 341650 | - | 0 | 1 | - | Unknown |
| Brooklands Partners, LLC CRD: 336750 | - | 0 | 1 | - | Unknown |
| Brooklawn Capital Advisors CRD: 287796 | - | 0 | 1 | - | Unknown |
| Brooklight Place Securities, Inc. CRD: 15764 | AZ | 0 | 12 | A | Active |
| Brooklin BUY OUT Ltd CRD: 163368 | - | 0 | 0 | - | Unknown |
| Brookline Analytics, L.L.C. CRD: 313117 | - | 0 | 0 | - | Unknown |
| Brookline Group, LLC CRD: 153587 | - | 1 | 0 | B | INACTIVE |
| Brookline Investments, Inc. CRD: 109239 | - | 0 | 2 | - | Unknown |
| Brookline Wealth, LLC CRD: 322787 | - | 0 | 1 | - | Unknown |
| Brooklyn Bridge Ventures, Inc. CRD: 166274 | - | 0 | 1 | - | Unknown |
| Brooklyn Capital & Securities Trading, Inc. CRD: 18125 | - | 0 | 0 | A | INACTIVE |
| Brooklyn FI, LLC CRD: 292115 | - | 0 | 12 | - | Unknown |
| Brooklyn Investment Group, LLC CRD: 316475 | - | 0 | 0 | - | Unknown |
| Brooklyn Plans LLC CRD: 284104 | - | 0 | 2 | - | Unknown |
| Brookmont Capital Management CRD: 145475 | - | 0 | 3 | - | Unknown |
| Brooknoll Advisors LLC CRD: 298297 | - | 0 | 1 | - | Unknown |
| Brookridge Capital, LLC CRD: 327182 | - | 0 | 1 | - | Unknown |
| Brookridge Securities Corporation CRD: 19419 | - | 0 | 0 | A | INACTIVE |
| Brookridge TR SPV GP, LLC CRD: 329698 | - | 0 | 0 | - | Unknown |
| Brooks and Company CRD: 142973 | - | 0 | 0 | - | Unknown |
| Brooks Capital Strategies CRD: 152645 | - | 0 | 0 | - | Unknown |
| Brooks Financial Advisory Group,Inc. CRD: 130984 | - | 0 | 3 | - | Unknown |
| Brooks Financial of North Carolina, LLC CRD: 317158 | - | 0 | 1 | - | Unknown |
| Brooks Financial Planning CRD: 122467 | - | 0 | 0 | - | Unknown |
| Brooks Financial Services CRD: 115305 | - | 0 | 1 | - | Unknown |
| Brooks Investment Advisory Service CRD: 130367 | - | 0 | 1 | - | Unknown |
| Brooks Larson Wealth Management CRD: 277125 | - | 0 | 0 | - | Unknown |
| Brooks Securities, Incorporated CRD: 17032 | - | 0 | 0 | A | INACTIVE |
| Brooks Wealth Management CRD: 332237 | - | 0 | 1 | - | Unknown |
| Brooks Weinger Robbins & Leeds Inc. CRD: 14156 | - | 0 | 0 | A | INACTIVE |
| Brooks, Hamburger, Satnick, Inc. CRD: 7886 | - | 0 | 0 | A | INACTIVE |
| Brooks, Moore & Associates, Inc. CRD: 105716 | - | 0 | 3 | - | Unknown |
| Brooks, Robert CRD: 32816 | - | 0 | 0 | A | INACTIVE |
| Brookshire Securities Corporation CRD: 44347 | - | 6 | 0 | C | INACTIVE |
| Brookshire Wealth Management CRD: 286528 | - | 0 | 0 | - | Unknown |
| Brookshire Wealth Management CRD: 322919 | - | 0 | 0 | - | Unknown |
| Brookside Investments, LLC CRD: 159850 | - | 0 | 0 | - | Unknown |