Broker-Dealer Firms
80,028 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 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
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 |
|---|---|---|---|---|---|
| ACE Capital, Inc. CRD: 174757 | - | 0 | 0 | - | Unknown |
| ACE Diversified Capital, Inc. CRD: 41768 | CA | 2 | 2 | B | Active |
| ACE Investment Advisor, Inc. CRD: 286113 | - | 0 | 0 | - | Unknown |
| ACE Management CRD: 306881 | - | 0 | 3 | - | Unknown |
| ACE Point Capital US Services LLC CRD: 315729 | - | 0 | 0 | - | Unknown |
| ACE Redpoint Management Company, Ltd. CRD: 288086 | - | 0 | 0 | - | Unknown |
| ACE Wealth Management LLC CRD: 318244 | - | 0 | 0 | - | Unknown |
| ACE Wealth Management LLC CRD: 286354 | - | 0 | 4 | - | Unknown |
| ACE Wealth Management, LLC CRD: 145136 | - | 0 | 1 | - | Unknown |
| ACE Wealth Partners, LLC CRD: 153595 | - | 0 | 1 | - | Unknown |
| Aceeda Wealth Management, Inc. CRD: 334893 | - | 0 | 1 | - | Unknown |
| Aceleradora 500 Luchadores S.A., DE C.V. CRD: 292514 | - | 0 | 0 | - | Unknown |
| Acento Securities, LLC CRD: 132399 | - | 0 | 0 | A | INACTIVE |
| Acentus Group L.L.C. CRD: 281147 | - | 0 | 3 | - | Unknown |
| Acepoint Capital Ltd CRD: 315733 | - | 0 | 0 | - | Unknown |
| Acer Investment Group, LLC CRD: 107062 | - | 0 | 0 | A | INACTIVE |
| Acer Tree Investment Management LLP CRD: 322248 | - | 0 | 0 | - | Unknown |
| Acero Capital CRD: 162093 | - | 0 | 1 | - | Unknown |
| Acertado Investments CRD: 333775 | - | 0 | 1 | - | Unknown |
| Acervus Securities, Inc. CRD: 298058 | - | 0 | 0 | A | INACTIVE |
| Aces Advisors CRD: 315407 | - | 0 | 2 | - | Unknown |
| ACF International Inc. CRD: 36151 | - | 0 | 0 | A | INACTIVE |
| ACF Investment Research, Inc. CRD: 287565 | - | 0 | 0 | - | Unknown |
| ACF Trading L.L.C. CRD: 111999 | - | 0 | 0 | A | INACTIVE |
| ACG Alpha Management LLC CRD: 338979 | - | 0 | 1 | - | Unknown |
| ACG Securities, LLC CRD: 37968 | - | 0 | 0 | A | INACTIVE |
| ACG Securities, LLC CRD: 116928 | - | 0 | 0 | A | INACTIVE |
| ACG Wealth Inc. CRD: 150419 | - | 0 | 0 | - | Unknown |
| Acgm, Inc. CRD: 29705 | - | 1 | 0 | B | INACTIVE |
| ACH Wealth Management CRD: 314778 | - | 0 | 0 | - | Unknown |
| Achates Capital Advisors LLC CRD: 153219 | - | 0 | 0 | A | INACTIVE |
| Achelous Partners, LLC CRD: 123380 | NY | 0 | 2 | A | Active |
| Achievable Wealth, LLC CRD: 284763 | - | 0 | 1 | - | Unknown |
| Achieve ATM Fund II MGR CRD: 329153 | - | 0 | 1 | - | Unknown |
| Achieve ATM Fund MGR, LLC CRD: 324456 | - | 0 | 1 | - | Unknown |
| Achieve Capital, LLC CRD: 171120 | - | 0 | 0 | - | Unknown |
| Achieve Retirement & Wealth Management, LLC CRD: 336486 | - | 0 | 1 | - | Unknown |
| Achieve Wealth Partners LLC CRD: 298540 | - | 0 | 0 | - | Unknown |
| Achievement Asset Management LLC CRD: 139083 | - | 0 | 0 | - | Unknown |
| Achieving Veritas LLC CRD: 327170 | - | 0 | 2 | - | Unknown |
| Achilles Management CRD: 336323 | - | 0 | 0 | - | Unknown |
| Achilles Securities, LLC CRD: 133542 | - | 7 | 0 | D | INACTIVE |
| ACI Capital Markets, LLC CRD: 338859 | NY | 0 | 3 | A | Active |
| ACI Group CRD: 164780 | - | 0 | 1 | - | Unknown |
| ACI Securities,Inc. CRD: 14591 | - | 0 | 0 | A | INACTIVE |
| ACI Wealth Advisors CRD: 155494 | - | 0 | 1 | - | Unknown |
| Acima Private Wealth LLC CRD: 281496 | - | 0 | 1 | - | Unknown |
| Aciof Management LLC CRD: 315187 | - | 0 | 0 | - | Unknown |
| Acion Partners Limited CRD: 174299 | - | 0 | 0 | - | Unknown |
| Acis Capital Management, L.P. CRD: 153302 | - | 0 | 0 | - | Unknown |