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 |
|---|---|---|---|---|---|
| Keith L. Eliou, CFP CRD: 301734 | — | 0 | 1 | A | Unknown |
| Keith Robert Dorney CRD: 331299 | — | 0 | 0 | A | Unknown |
| Keith Securities, Inc. CRD: 22647 | — | 0 | 0 | A | INACTIVE |
| Kelan Capital CRD: 326583 | — | 0 | 1 | A | Unknown |
| Kell Capital, LLC CRD: 312863 | — | 0 | 0 | A | Unknown |
| Kell Capital, LLC CRD: 334669 | — | 0 | 1 | A | Unknown |
| Keller Family LAW & Investments CRD: 320868 | — | 0 | 0 | A | Unknown |
| Keller, James Thomas CRD: 119431 | — | 0 | 0 | A | INACTIVE |
| Kelley Investments CRD: 119099 | — | 0 | 1 | A | Unknown |
| Kelley-Roeske, Inc. CRD: 10037 | — | 0 | 0 | A | INACTIVE |
| Kelling, Northcross & Nobriga Incorporated CRD: 13435 | — | 0 | 0 | A | INACTIVE |
| Kellner Dileo Securities Corporation CRD: 13902 | — | 0 | 0 | A | INACTIVE |
| Kellner Management, LP CRD: 118884 | — | 0 | 0 | A | Unknown |
| Kelly & Associates, LLC CRD: 123466 | — | 0 | 5 | A | Unknown |
| Kelly and Associates CRD: 115473 | — | 0 | 0 | A | Unknown |
| Kelly Intelligence CRD: 315259 | — | 0 | 1 | A | Unknown |
| Kelly Klingaman Financial Planning LLC CRD: 306286 | — | 0 | 1 | A | Unknown |
| Kelly, Edward Francis CRD: 39028 | — | 0 | 0 | A | INACTIVE |
| Kelman Lazarov Inc CRD: 107727 | — | 0 | 5 | A | Unknown |
| Kelp Capital LLC CRD: 135079 | — | 0 | 2 | A | Unknown |
| Kelsey Financial, LLC CRD: 171901 | — | 0 | 0 | A | Unknown |
| Kelsey Financial, LLC CRD: 314950 | — | 0 | 6 | A | Unknown |
| Kelso & Company, L.P. CRD: 131471 | — | 0 | 1 | A | Unknown |
| Kelso Advisors, LLC CRD: 166269 | — | 0 | 0 | A | Unknown |
| Kelso Advisors, LLC CRD: 300511 | — | 0 | 0 | A | Unknown |
| Kelson Capital LLC CRD: 149477 | CT | 0 | 2 | A | Active |
| Kema Partners LLC CRD: 143752 | CA | 0 | 8 | A | Active |
| Kembol Ventures, LLC CRD: 335238 | — | 0 | 1 | A | Unknown |
| Kempenich, Steven CRD: 328647 | — | 0 | 1 | A | Unknown |
| Kemper Sales Company CRD: 14761 | — | 0 | 0 | A | INACTIVE |
| KEN Edelman CRD: 114362 | — | 0 | 0 | A | Unknown |
| KEN Roman, Inc. CRD: 166525 | — | 0 | 0 | A | Unknown |
| KEN S Greenly PLLC CRD: 117457 | — | 0 | 0 | A | Unknown |
| Kenai Investments, Inc. CRD: 125974 | — | 0 | 3 | A | INACTIVE |
| Kenard Securities, Inc. CRD: 14327 | — | 0 | 0 | A | INACTIVE |
| Kenbee Securities, Inc. CRD: 13006 | — | 0 | 0 | A | INACTIVE |
| Kendale Corporation CRD: 10351 | — | 0 | 0 | A | INACTIVE |
| Kendall & Company, Inc. CRD: 14365 | — | 0 | 0 | A | INACTIVE |
| Kendall Wealth LLC CRD: 113901 | — | 0 | 2 | A | Unknown |
| Kende Investments LLC CRD: 144663 | — | 0 | 0 | A | Unknown |
| Kendrick Group, Inc. CRD: 114602 | — | 0 | 0 | A | Unknown |
| Kendrick Pierce & Co CRD: 40301 | — | 1 | 0 | B | INACTIVE |
| Kenmar Securities, L.P. CRD: 29375 | — | 0 | 0 | A | INACTIVE |
| Kenmare Management, L.P. CRD: 161280 | — | 0 | 0 | A | Unknown |
| Kennebec Global LLC CRD: 174213 | — | 0 | 0 | A | Unknown |
| Kennedy Lewis Loan Management LLC CRD: 316091 | — | 0 | 1 | A | Unknown |
| Kennedy, Cabot & Co. CRD: 2417 | — | 0 | 0 | A | INACTIVE |
| Kennedy, John B. CRD: 120994 | — | 0 | 0 | A | Unknown |
| Kenner & Company, Inc. CRD: 283005 | — | 0 | 0 | A | Unknown |
| Kennet Partners LLC CRD: 158178 | — | 0 | 0 | A | Unknown |