Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Kanne, Paris & Hoban, Inc. CRD: 6675 | — | 0 | 0 | A | INACTIVE |
| Kanner Capital CRD: 323168 | — | 0 | 0 | A | Unknown |
| Kanno Capital CRD: 308060 | — | 0 | 1 | A | Unknown |
| Kanon Bloch Carre CRD: 145988 | — | 0 | 0 | A | Unknown |
| Kanso Capital CRD: 317708 | — | 0 | 1 | A | Unknown |
| Kantor, William Alan CRD: 32185 | — | 0 | 0 | A | INACTIVE |
| Kape Trading, Inc. CRD: 104185 | — | 0 | 0 | A | INACTIVE |
| Kapela CRD: 309601 | — | 0 | 2 | A | Unknown |
| Kaplan Unlimited Inc. CRD: 297430 | — | 0 | 0 | A | Unknown |
| Kaplan, Barry IRA CRD: 32692 | — | 1 | 0 | B | INACTIVE |
| Kapok Capital LLC CRD: 159698 | — | 0 | 1 | A | Unknown |
| Kapp Robinson Resources, Inc. CRD: 29830 | — | 0 | 0 | A | INACTIVE |
| Kapuy Management LLC CRD: 322636 | — | 0 | 0 | A | Unknown |
| Karamaan Group LLC CRD: 297036 | — | 0 | 0 | A | Unknown |
| Kardinal Financial CRD: 316730 | — | 0 | 1 | A | Unknown |
| Karel Capital, Inc. CRD: 105607 | — | 0 | 2 | A | Unknown |
| Karimzadeh, Mathieu, Massoud CRD: 283981 | — | 0 | 0 | A | Unknown |
| Karl Kapital CRD: 333558 | — | 0 | 1 | A | Unknown |
| Karl Wilhelm Blovet D/B/a Karl W. Blovet & Associa… CRD: 126809 | — | 0 | 0 | A | Unknown |
| Karly Schelly & Company CRD: 34100 | — | 1 | 0 | B | INACTIVE |
| Karma Advisors CRD: 154357 | — | 0 | 0 | A | Unknown |
| Karma Management, LLC CRD: 312561 | — | 0 | 0 | A | Unknown |
| Karman Ventures, LLC CRD: 322083 | — | 0 | 1 | A | Unknown |
| Karmel Capital LLC CRD: 285796 | — | 0 | 0 | A | Unknown |
| Karmeq, LLC CRD: 300796 | CA | 0 | 2 | A | Active |
| Karp & Associates CRD: 141477 | — | 0 | 1 | A | Unknown |
| Karpas Strategies LLC CRD: 108139 | — | 0 | 0 | A | Unknown |
| Karpreilly, LLC CRD: 161169 | — | 0 | 1 | A | Unknown |
| Karsen, Craig CRD: 32423 | — | 0 | 0 | A | INACTIVE |
| Karsten Advisors CRD: 158571 | — | 0 | 0 | A | Unknown |
| Karstens Wealth CRD: 321646 | — | 0 | 1 | A | Unknown |
| Kartesia Management CRD: 289175 | — | 0 | 0 | A | Unknown |
| Karvy, Inc. CRD: 134512 | — | 0 | 0 | A | INACTIVE |
| Kasanda Capital CRD: 334491 | — | 0 | 2 | A | Unknown |
| Kasper, Alexander L. CRD: 123114 | — | 0 | 0 | A | Unknown |
| Kastle Capital, LLC CRD: 171888 | — | 0 | 0 | A | Unknown |
| Kastle Wealth CRD: 285421 | — | 0 | 0 | A | Unknown |
| Kaszek Management S.A. CRD: 162456 | — | 0 | 0 | A | Unknown |
| KATALYST.VENTURES CRD: 294643 | — | 0 | 1 | A | Unknown |
| Katam Hill LLC CRD: 306521 | — | 0 | 1 | A | Unknown |
| Katama GP LLC CRD: 165128 | — | 0 | 0 | A | Unknown |
| Katama Trading L.L.C CRD: 42437 | — | 0 | 0 | A | INACTIVE |
| Katana Capital LLC CRD: 144882 | — | 0 | 0 | A | Unknown |
| Kate Capital Group CRD: 334283 | — | 0 | 1 | A | Unknown |
| Kate Capital LLC CRD: 329897 | — | 0 | 1 | A | Unknown |
| Katl Group, LLC CRD: 134223 | — | 1 | 0 | B | INACTIVE |
| Katonah Debt Advisors, L.L.C. CRD: 157868 | — | 0 | 0 | A | Unknown |
| Katto Financial LLC CRD: 141108 | — | 0 | 0 | A | Unknown |
| Katz Capital Advisors CRD: 334834 | — | 0 | 1 | A | Unknown |
| Katz Financial, LLC CRD: 144812 | — | 0 | 0 | A | Unknown |