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 |
|---|---|---|---|---|---|
| Katz, Robert JAY CRD: 34481 | — | 0 | 0 | A | INACTIVE |
| Katz, Robin Arthur CRD: 32975 | — | 0 | 0 | A | INACTIVE |
| Kauffman & Drebing CRD: 117719 | — | 0 | 3 | A | Unknown |
| Kaufman & Company, LLC CRD: 10924 | MA | 0 | 2 | A | Active |
| Kaufman Bros., L.P. CRD: 37909 | — | 4 | 0 | C | INACTIVE |
| Kaufman Folberth Financial Group CRD: 16442 | — | 0 | 0 | A | INACTIVE |
| Kaufman Kampe Advisors CRD: 144504 | — | 0 | 0 | A | Unknown |
| Kaunisto Capital L.L.C. CRD: 333689 | — | 0 | 2 | A | Unknown |
| Kavan Trading, L.L.C. CRD: 41694 | — | 0 | 0 | A | INACTIVE |
| Kavout Securities, LLC CRD: 285976 | — | 0 | 0 | A | INACTIVE |
| Kawa Securities LLC CRD: 307917 | — | 0 | 0 | A | INACTIVE |
| KAY Investments, Inc. CRD: 124267 | — | 0 | 1 | A | Unknown |
| KAY Quinn Financial, LLC CRD: 123983 | — | 0 | 0 | A | Unknown |
| Kayan Securities, Inc. CRD: 156175 | CA | 1 | 3 | B | Active |
| Kaybank Capital LLC CRD: 299950 | — | 0 | 0 | A | Unknown |
| Kayne, Anderson & Co., Inc. CRD: 14961 | — | 0 | 0 | A | INACTIVE |
| Kays Financial Advisory Corp CRD: 105873 | — | 0 | 0 | A | Unknown |
| Kayyak Ventures SPA CRD: 331628 | — | 0 | 0 | A | Unknown |
| KBC Securities Inc. CRD: 47900 | — | 0 | 0 | A | INACTIVE |
| KBC Securities USA LLC CRD: 46709 | — | 7 | 0 | D | INACTIVE |
| KBC Securities, Inc. CRD: 39873 | — | 0 | 0 | A | INACTIVE |
| KBD Securities, LLC CRD: 104110 | NY | 0 | 2 | A | Active |
| Kbis Capital CRD: 313419 | — | 0 | 1 | A | Unknown |
| Kbit Management Ltd. CRD: 317853 | — | 0 | 0 | A | Unknown |
| KBL Healthcare Inc CRD: 29265 | — | 0 | 0 | A | INACTIVE |
| KBS Management LLC CRD: 140135 | — | 0 | 0 | A | Unknown |
| KBSTM Partners, LLC CRD: 155433 | — | 0 | 1 | A | Unknown |
| KC MAY Securities Corp. CRD: 17833 | — | 5 | 0 | C | INACTIVE |
| KC Morgan Taylor CRD: 317141 | — | 0 | 0 | A | Unknown |
| KC Securities Corp. CRD: 10227 | — | 0 | 0 | A | INACTIVE |
| KC-Co II L.L.C. CRD: 38705 | — | 0 | 0 | A | INACTIVE |
| KCB Gamma GP LLC CRD: 309089 | — | 0 | 1 | A | Unknown |
| KCB Management LLC CRD: 168863 | — | 0 | 1 | A | Unknown |
| Kcci, Ltd. CRD: 34528 | — | 2 | 0 | B | INACTIVE |
| KCCS Management Inc. CRD: 284944 | — | 0 | 1 | A | Unknown |
| KCD Advisors, LLC CRD: 171198 | — | 0 | 0 | A | Unknown |
| KCD Financial, Inc. CRD: 127473 | WI | 4 | 59 | B | Active |
| KCG LLC CRD: 159406 | — | 0 | 0 | A | Unknown |
| KCG Securities, LLC CRD: 151300 | — | 0 | 0 | A | INACTIVE |
| KCL Capital, L.P. CRD: 290055 | — | 0 | 0 | A | Unknown |
| KCL Service Company CRD: 6598 | — | 0 | 0 | A | INACTIVE |
| KCLLC CRD: 291522 | — | 0 | 1 | A | Unknown |
| KCM CRD: 334409 | — | 0 | 1 | A | Unknown |
| KCN Management, LP CRD: 332613 | — | 0 | 1 | A | Unknown |
| Kcoe Capital LLC CRD: 104609 | WA | 0 | 4 | A | Active |
| Kcpag Brokerage LLC CRD: 107187 | — | 0 | 0 | A | INACTIVE |
| KCQF, LLC CRD: 318507 | — | 0 | 0 | A | Unknown |
| KCR Capital, LLC CRD: 298516 | CO | 0 | 2 | A | Active |
| Kcrise Capital CRD: 305683 | — | 0 | 1 | A | Unknown |
| KCS Advisors, LLC CRD: 128005 | — | 0 | 3 | A | Unknown |