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 |
|---|---|---|---|---|---|
| Knowles, Judith E. CRD: 129059 | — | 0 | 0 | A | Unknown |
| Known Growth LLC CRD: 322351 | NY | 0 | 1 | A | Active |
| Known Wealth LLC CRD: 321745 | — | 0 | 0 | A | Unknown |
| Knox Avenue Financial Corp. CRD: 289094 | — | 0 | 1 | A | Unknown |
| Knox Capital CRD: 329511 | — | 0 | 2 | A | Unknown |
| Knox Lane LP CRD: 306657 | — | 0 | 1 | A | Unknown |
| Knox Park Capital CRD: 333043 | — | 0 | 1 | A | Unknown |
| Knox Securities Corp. CRD: 127436 | — | 0 | 0 | A | INACTIVE |
| Knox, Wall & Company CRD: 6961 | — | 0 | 0 | A | INACTIVE |
| Knsland, Inc. CRD: 297258 | — | 0 | 0 | A | Unknown |
| Knuff & Company LLC CRD: 298203 | — | 0 | 1 | A | Unknown |
| KO Financial CRD: 309172 | — | 0 | 1 | A | Unknown |
| KO Securities, Inc. CRD: 8364 | — | 5 | 0 | C | INACTIVE |
| Koan Partners LLC CRD: 324304 | — | 0 | 1 | A | Unknown |
| Kobata Financial CRD: 112001 | — | 0 | 1 | A | Unknown |
| Kober Financial Corp. CRD: 17551 | — | 0 | 0 | A | INACTIVE |
| Kobre Holdings, LLC CRD: 317710 | — | 0 | 1 | A | Unknown |
| Kobrin Securities, Inc. CRD: 10204 | — | 0 | 0 | A | INACTIVE |
| Kochcapital CRD: 21038 | — | 0 | 0 | A | INACTIVE |
| Kodem Vector GP LLC CRD: 299945 | — | 0 | 0 | A | Unknown |
| Koffler & Company CRD: 44267 | — | 0 | 0 | A | INACTIVE |
| Koger Securities, Inc. CRD: 10390 | — | 0 | 0 | A | INACTIVE |
| Kohfounders CRD: 174882 | — | 0 | 1 | A | Unknown |
| Kohlberg & Company CRD: 160745 | — | 0 | 1 | A | Unknown |
| Kohlberg Kravis Roberts & Co. L.P. CRD: 144533 | — | 0 | 1 | A | Unknown |
| Kohr Investments CRD: 305796 | — | 0 | 2 | A | Unknown |
| Koin Capital Inc CRD: 315355 | — | 0 | 1 | A | Unknown |
| Koinonia Financial CRD: 283945 | — | 0 | 0 | A | Unknown |
| Koinonia Financial CRD: 312136 | — | 0 | 1 | A | Unknown |
| Kolb & Company CRD: 6272 | — | 0 | 0 | A | INACTIVE |
| Kolber, Mark Stephen CRD: 123935 | — | 0 | 0 | A | INACTIVE |
| Koller Capital LLC CRD: 313498 | — | 0 | 2 | A | Unknown |
| Kolo Capital CRD: 313683 | — | 0 | 1 | A | Unknown |
| Komet Asset Management CRD: 114930 | — | 0 | 0 | A | Unknown |
| Kominz Company, Ltd. CRD: 13962 | — | 0 | 0 | A | INACTIVE |
| Kommon Wealth, LLC CRD: 337483 | — | 0 | 1 | A | Unknown |
| Komo Capital LLP CRD: 338074 | — | 0 | 0 | A | Unknown |
| Komons Financial LLC CRD: 302087 | — | 0 | 1 | A | Unknown |
| Komorebi Global CRD: 310437 | — | 0 | 1 | A | Unknown |
| Kompass Kapital Advisors, LLC CRD: 335041 | — | 0 | 1 | A | Unknown |
| Kondracki Advisory, LLC CRD: 165649 | — | 0 | 1 | A | Unknown |
| Kondracki Group Inc. CRD: 287969 | — | 0 | 0 | A | Unknown |
| Konektis Capital CRD: 327997 | — | 0 | 1 | A | Unknown |
| Kong, Samuel K CRD: 135309 | — | 0 | 0 | A | INACTIVE |
| Konicek Investment Advisory CRD: 127192 | — | 0 | 0 | A | Unknown |
| Konstant Capital LLC CRD: 285230 | — | 0 | 0 | A | Unknown |
| Konvoy CRD: 321077 | — | 0 | 1 | A | Unknown |
| Konza Global Wealth Group CRD: 331692 | — | 0 | 2 | A | Unknown |
| Kooman & Associates CRD: 322163 | — | 0 | 5 | A | Unknown |
| Koon Financial Planning & Consulting/KFP&C CRD: 126051 | — | 0 | 1 | A | Unknown |