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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| ALTUM WEALTH ADVISORS CRD: 301214 | — | 0 | 0 | A | Unknown |
| ALTURA CAPITAL CRD: 312348 | — | 0 | 0 | A | Unknown |
| ALTURA WEALTH ADVISORS CRD: 337998 | — | 0 | 0 | A | Unknown |
| ALTUS INVESTMENT GROUP CRD: 128489 | — | 0 | 0 | A | Unknown |
| ALUMAN CRD: 281073 | — | 0 | 0 | A | Unknown |
| ALUMNI VENTURES CRD: 170562 | — | 0 | 0 | A | Unknown |
| ALUPKA ASSET MANAGEMENT CRD: 158410 | — | 0 | 0 | A | Unknown |
| ALVARADO & ASSOCIATES, LLC CRD: 298577 | — | 0 | 0 | A | Unknown |
| ALVAREZ & MARSAL ZOHAR MANAGEMENT, LLC CRD: 283338 | — | 0 | 0 | A | Unknown |
| ALVERY BARTLETT BROKERAGE CO. CRD: 13487 | — | 0 | 0 | A | INACTIVE |
| ALVYN HERRICK ADVISORS CRD: 158554 | — | 0 | 0 | A | Unknown |
| ALWALEED X.AI INC. CRD: 339810 | — | 0 | 0 | A | Unknown |
| ALWYNE MANAGEMENT LP CRD: 290715 | — | 0 | 0 | A | Unknown |
| ALYSSA LLC CRD: 102220 | — | 0 | 0 | A | INACTIVE |
| AM ADVISORS CRD: 172081 | — | 0 | 0 | A | Unknown |
| AM ADVISORS CRD: 284168 | — | 0 | 0 | A | Unknown |
| AM&A SECURITIES, INC. CRD: 29458 | — | 0 | 0 | A | INACTIVE |
| AMA SECURITIES LLC CRD: 45988 | CT | 0 | 1 | A | Active |
| AMADOR CAPITAL CRD: 296938 | — | 0 | 0 | A | Unknown |
| AMADOR SECURITIES CRD: 8116 | — | 0 | 0 | A | INACTIVE |
| AMALFI INVESTMENTS, LLC CRD: 312466 | — | 0 | 0 | A | Unknown |
| AMALIA PARTNER AG CRD: 338138 | — | 0 | 0 | A | Unknown |
| AMANA ADVISORS CRD: 325301 | — | 0 | 0 | A | Unknown |
| AMANDA ADVISORS, LLC CRD: 283094 | — | 0 | 0 | A | Unknown |
| AMARANTH ADVISORS L.L.C. CRD: 163310 | — | 0 | 0 | A | Unknown |
| AMASIA MANAGEMENT, LLC CRD: 171756 | — | 0 | 0 | A | Unknown |
| AMATEMINT GROUP, LLC CRD: 322768 | — | 0 | 0 | A | Unknown |
| AMAUTA FINANCIAL CRD: 281419 | — | 0 | 0 | A | Unknown |
| AMB FINANCIAL LLC CRD: 329930 | — | 0 | 0 | A | Unknown |
| AMB WEALTH, LLC CRD: 113106 | — | 0 | 0 | A | Unknown |
| AMBER CAPITAL CRD: 136167 | — | 0 | 0 | A | Unknown |
| AMBER CAPITAL CRD: 293867 | — | 0 | 0 | A | Unknown |
| AMBER EQUITY CORPORATION CRD: 13300 | — | 0 | 0 | A | INACTIVE |
| AMBER PARTNERS LTD. CRD: 137086 | — | 0 | 0 | A | Unknown |
| AMBER WEALTH ADVISORS, LLC CRD: 325953 | — | 0 | 0 | A | Unknown |
| AMBERJACK CAPITAL PARTNERS, L.P. CRD: 161464 | — | 0 | 0 | A | Unknown |
| AMBERWAVE PARTNERS CRD: 317103 | — | 0 | 0 | A | Unknown |
| AMBIENTA SGR S.P.A. CRD: 292352 | — | 0 | 0 | A | Unknown |
| AMBIENTE GP, LLC CRD: 319335 | — | 0 | 0 | A | Unknown |
| AMBINA PARTNERS LLC CRD: 298373 | — | 0 | 0 | A | Unknown |
| AMBIT AMERICA INC. CRD: 173795 | — | 0 | 0 | A | INACTIVE |
| AMBITION MANAGEMENT CRD: 304606 | — | 0 | 0 | A | Unknown |
| AMBIVIEW ADVISORS, LLC CRD: 312702 | — | 0 | 0 | A | Unknown |
| AMBLESIDE INVESTMENTS CRD: 326912 | — | 0 | 0 | A | Unknown |
| AMBROSE WEALTH LLC CRD: 325561 | — | 0 | 0 | A | Unknown |
| AMBROSIA HERB TEA, LLC CRD: 288737 | — | 0 | 0 | A | Unknown |
| AMBROZY & ASSOCIATES, INC. CRD: 129318 | — | 0 | 0 | A | Unknown |
| AMC GP S.A R.L. CRD: 320730 | — | 0 | 0 | A | Unknown |
| AMCO SECURITIES INC. CRD: 23767 | — | 0 | 0 | A | INACTIVE |
| AMD CAPITAL, LLC CRD: 121539 | IL | 0 | 1 | A | Active |