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 |
|---|---|---|---|---|---|
| ABW Wealth Advisors CRD: 162348 | - | 0 | 0 | - | Unknown |
| ABW, LLC CRD: 309104 | - | 0 | 1 | - | Unknown |
| ABÉNEX Capital CRD: 163755 | - | 0 | 0 | - | Unknown |
| ABÉNEX Capital CRD: 321143 | - | 0 | 0 | - | Unknown |
| AC Advisors, LLC CRD: 282742 | - | 0 | 0 | - | Unknown |
| AC Financial, Inc. CRD: 21616 | - | 3 | 0 | B | INACTIVE |
| AC Funds, LLC CRD: 311748 | - | 0 | 1 | - | Unknown |
| AC Investment Management LLC CRD: 140443 | - | 0 | 1 | - | Unknown |
| AC ONE Asset Management, LLC CRD: 159469 | - | 0 | 0 | - | Unknown |
| AC Sunshine Securities LLC CRD: 317903 | FL | 0 | 2 | A | Active |
| AC Wealth Partners CRD: 326708 | - | 0 | 3 | - | Unknown |
| AC3 Capital CRD: 157547 | - | 0 | 2 | - | Unknown |
| ACA Manager (Mauritius) Limited CRD: 282722 | - | 0 | 0 | - | Unknown |
| ACA Securities, L.L.C. CRD: 113614 | - | 0 | 0 | A | INACTIVE |
| ACA/Prudent Investors Planning Company CRD: 3102 | - | 0 | 0 | A | INACTIVE |
| ACA/Prudent Investors Planning Corporation CRD: 47798 | NJ | 0 | 3 | A | Active |
| Acacia Asset Management LLC CRD: 287857 | - | 0 | 1 | - | Unknown |
| Acacia Energy Capital Management, LLC CRD: 299169 | - | 0 | 0 | - | Unknown |
| Acacia Group VI LLC CRD: 339851 | - | 0 | 1 | - | Unknown |
| Acacia Group VII LLC CRD: 339164 | - | 0 | 1 | - | Unknown |
| Acacia Grove Wealth Management CRD: 332881 | - | 0 | 1 | - | Unknown |
| Acacia Investment Advisors, LLC CRD: 126632 | - | 0 | 0 | - | Unknown |
| Acacia Partners, LLC CRD: 281887 | - | 0 | 1 | - | Unknown |
| Acacia Wealth Advisors, LLC CRD: 135044 | - | 0 | 0 | - | Unknown |
| Academy Asset Management CRD: 319774 | - | 0 | 1 | - | Unknown |
| Academy Asset Management, LLC CRD: 311473 | - | 0 | 0 | - | Unknown |
| Academy Hills Advisors CRD: 164842 | - | 0 | 0 | - | Unknown |
| Academy Securities, Inc. CRD: 17433 | NY | 1 | 9 | B | Active |
| Academy Wealth Advisers, LLC CRD: 158588 | - | 0 | 1 | - | Unknown |
| Acadia Investment Advisors LLC CRD: 305957 | - | 0 | 2 | - | Unknown |
| Acadia Legacy Group CRD: 291481 | - | 0 | 1 | - | Unknown |
| Acadia Wealth Advisors CRD: 155698 | - | 0 | 1 | - | Unknown |
| Acadian Asset Management CRD: 322795 | - | 0 | 0 | - | Unknown |
| Acadian Asset Management CRD: 323400 | - | 0 | 0 | - | Unknown |
| Acadian Asset Management CRD: 106609 | - | 0 | 1 | - | Unknown |
| Acadian Capital Investments, LLC CRD: 311467 | - | 0 | 0 | - | Unknown |
| Acadian Ventures Management, LLC CRD: 329726 | - | 0 | 1 | - | Unknown |
| Acadian Wealth Management CRD: 137571 | - | 0 | 0 | - | Unknown |
| Acalyx Advisors Inc. CRD: 174667 | VA | 0 | 5 | A | Active |
| Acanthus CRD: 296836 | - | 2 | 0 | B | INACTIVE |
| Acanthus U.S. Limited CRD: 330055 | - | 0 | 0 | A | Active |
| Acanto, LLC CRD: 289330 | - | 0 | 1 | - | Unknown |
| Acap Asset Management, Inc. CRD: 149452 | - | 0 | 2 | - | Unknown |
| Acap Financial Inc. CRD: 7731 | - | 19 | 0 | F | INACTIVE |
| Acasta Partners UK LLP CRD: 334955 | - | 0 | 0 | - | Unknown |
| Acasta Partners US LLC CRD: 335005 | - | 0 | 1 | - | Unknown |
| Acbm MGMT LLC CRD: 320636 | - | 0 | 1 | - | Unknown |
| ACC Securities, LLC CRD: 167019 | TX | 0 | 2 | A | Active |
| Accel Advisors, Inc. CRD: 172750 | - | 0 | 1 | - | Unknown |
| Accel Financial Advisors, LLC CRD: 151898 | - | 0 | 0 | - | Unknown |