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 |
|---|---|---|---|---|---|
| Koondel, IRA Sturat CRD: 33030 | — | 0 | 0 | A | INACTIVE |
| Kopka Financial, LLC CRD: 293234 | — | 0 | 1 | A | Unknown |
| Koplan & Associates CRD: 143042 | — | 0 | 1 | A | Unknown |
| Kopman Investment Advisory CRD: 157598 | — | 0 | 0 | A | Unknown |
| Kopp Financial CRD: 169118 | — | 0 | 1 | A | Unknown |
| Kora Management LP CRD: 172534 | — | 0 | 1 | A | Unknown |
| Kore Advisors LP CRD: 159663 | — | 0 | 1 | A | Unknown |
| Korea Investment Global Green Energy GP CRD: 324944 | — | 0 | 0 | A | Unknown |
| Korelya Capital CRD: 324370 | — | 0 | 0 | A | Unknown |
| Kori Capital, Inc. CRD: 304779 | — | 0 | 0 | A | Unknown |
| Kormendi, BYRD Brothers, Inc. CRD: 2470 | — | 0 | 0 | A | INACTIVE |
| Kornerstone, Inc. CRD: 170687 | — | 0 | 0 | A | Unknown |
| Korr Acquisitions CRD: 242791 | — | 0 | 0 | A | Unknown |
| Kortenkamp, Joshua F CRD: 322425 | — | 0 | 1 | A | Unknown |
| Koru Management, LLC CRD: 340398 | — | 0 | 1 | A | Unknown |
| Korving & Company LLC CRD: 152095 | — | 0 | 1 | A | Unknown |
| Korzo Financial LLC CRD: 323459 | — | 0 | 0 | A | Unknown |
| Kosack Capital, LLC CRD: 305939 | — | 0 | 0 | A | Unknown |
| Kosack Capital, LLC CRD: 330559 | — | 0 | 0 | A | Unknown |
| Kosler & Company CRD: 226610 | — | 0 | 0 | A | Unknown |
| Kosmin, Miles Douglas CRD: 15370 | — | 0 | 0 | A | INACTIVE |
| Kosmos Management LLC CRD: 164712 | — | 0 | 1 | A | Unknown |
| Koster, Todd a CRD: 34610 | — | 0 | 0 | A | INACTIVE |
| Kotak Mahindra (UK) Limited CRD: 138885 | — | 0 | 0 | A | Unknown |
| Kotak Mahindra, Inc. CRD: 47251 | NY | 0 | 2 | A | Active |
| Kovack Advisors, Inc. CRD: 140808 | — | 0 | 269 | A | Unknown |
| Kovell Caldwell LLC CRD: 104341 | — | 0 | 0 | A | INACTIVE |
| Kovell Trading LLC CRD: 40824 | — | 0 | 0 | A | INACTIVE |
| Kovitz Securities, LLC CRD: 129878 | — | 2 | 0 | B | INACTIVE |
| Kowalik and Associates LLC CRD: 130787 | — | 0 | 0 | A | Unknown |
| Koyote Trading LLC CRD: 149672 | — | 0 | 0 | A | INACTIVE |
| Kozy Trading LLC CRD: 101760 | — | 0 | 0 | A | INACTIVE |
| KP Management LLC CRD: 161307 | — | 0 | 1 | A | Unknown |
| KP7 Investors LLC CRD: 312453 | — | 0 | 1 | A | Unknown |
| KPC Terrapin Group LLC CRD: 285526 | — | 0 | 1 | A | Unknown |
| KPCB China CRD: 161470 | — | 0 | 0 | A | Unknown |
| KPD Securities Corp. CRD: 18254 | — | 0 | 0 | A | INACTIVE |
| KPG Ventures CRD: 163405 | — | 0 | 0 | A | Unknown |
| KPM Financial, LLC CRD: 171012 | — | 0 | 0 | A | Unknown |
| KPMG Corporate Finance LLC CRD: 103973 | IL | 0 | 12 | A | Active |
| Kpoint Capital LLC CRD: 333024 | — | 0 | 1 | A | Unknown |
| KPP Advisory Services LLC CRD: 289507 | — | 0 | 10 | A | Unknown |
| KQ Wealth Management LLC CRD: 116901 | — | 0 | 3 | A | Unknown |
| KR Capital LP CRD: 338229 | — | 0 | 1 | A | Unknown |
| KR Securities, LLC CRD: 46152 | NJ | 1 | 2 | B | Active |
| Kraft Capital CRD: 332355 | — | 0 | 1 | A | Unknown |
| Kraft Financial, LLC CRD: 298875 | — | 0 | 1 | A | Unknown |
| Kraken Adviser LLC CRD: 337920 | — | 0 | 2 | A | Unknown |
| Kraken Securities CRD: 324343 | FL | 0 | 2 | A | Active |
| Krambo Corportion CRD: 6759 | MI | 0 | 2 | A | Active |