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 |
|---|---|---|---|---|---|
| LEE & SON Trading CRD: 120949 | — | 1 | 0 | B | INACTIVE |
| LEE Capital Management CRD: 129938 | — | 0 | 0 | A | Unknown |
| LEE E. Holland, CPA, CFP CRD: 122276 | — | 0 | 0 | A | Unknown |
| LEE Financial Group CRD: 319537 | — | 0 | 1 | A | Unknown |
| LEE Miles LLC CRD: 170776 | — | 0 | 1 | A | Unknown |
| LEE R. Robinson & Associates CRD: 136458 | — | 0 | 1 | A | Unknown |
| LEE Richard Riegler, JR. CRD: 116321 | — | 0 | 0 | A | Unknown |
| LEE Sager JR. Inc. CRD: 26545 | — | 0 | 0 | A | INACTIVE |
| LEE Securities Corp CRD: 33079 | — | 1 | 0 | B | INACTIVE |
| LEE, Byron TAK CRD: 31603 | — | 0 | 0 | A | INACTIVE |
| LEE, Dennis CRD: 148036 | — | 0 | 0 | A | Unknown |
| LEE, Kimun CRD: 118512 | — | 0 | 2 | A | Unknown |
| Leeds Group, Inc. CRD: 40257 | — | 0 | 0 | A | INACTIVE |
| Leeds Securities Ltd. CRD: 23653 | — | 0 | 0 | A | INACTIVE |
| Leek, JAY CRD: 287492 | — | 0 | 1 | A | Unknown |
| Leelyn Smith, LLC CRD: 110517 | — | 0 | 4 | A | Unknown |
| Leerink Partners LLC CRD: 39011 | MA | 6 | 11 | C | Active |
| Lees Monsour Group CRD: 318023 | — | 0 | 1 | A | Unknown |
| Leeward Investments CRD: 312557 | — | 0 | 3 | A | Unknown |
| Lefleur Capital Corp. CRD: 43001 | — | 0 | 0 | A | INACTIVE |
| Lefleur Financial CRD: 174156 | — | 0 | 1 | A | Unknown |
| Left Lane Capital CRD: 309286 | — | 0 | 1 | A | Unknown |
| Left Lane Capital Advisors LLC CRD: 330621 | — | 0 | 1 | A | Unknown |
| Lega Z Advisory LLC CRD: 297417 | — | 0 | 1 | A | Unknown |
| Legacy Advisors, LLC CRD: 139830 | — | 0 | 5 | A | Unknown |
| Legacy Advisory Group CRD: 141329 | — | 0 | 0 | A | Unknown |
| Legacy Advisory Group, Inc CRD: 328470 | — | 0 | 1 | A | Unknown |
| Legacy Advisory Group, Inc. CRD: 131895 | — | 0 | 2 | A | Unknown |
| Legacy Advisory Group, LLC CRD: 281527 | — | 0 | 0 | A | Unknown |
| Legacy Advisory Group, LLC CRD: 285596 | — | 0 | 0 | A | Unknown |
| Legacy Advisory Network, LLC CRD: 313266 | — | 0 | 1 | A | Unknown |
| Legacy Advisory Services CRD: 307478 | — | 0 | 0 | A | Unknown |
| Legacy Capital CRD: 332184 | — | 0 | 2 | A | Unknown |
| Legacy Counsel, LLC CRD: 305156 | — | 0 | 0 | A | Unknown |
| Legacy Financial CRD: 314912 | — | 0 | 0 | A | Unknown |
| Legacy Financial CRD: 153236 | — | 0 | 2 | A | Unknown |
| Legacy Financial, LLC CRD: 151266 | — | 0 | 0 | A | Unknown |
| Legacy Financial, Ltd CRD: 284437 | — | 0 | 1 | A | Unknown |
| Legacy Global Management, L.L.C. CRD: 152879 | — | 0 | 1 | A | Unknown |
| Legacy Group CRD: 134797 | — | 0 | 1 | A | Unknown |
| Legacy Harbor CRD: 118187 | — | 0 | 1 | A | Unknown |
| Legacy Innovations, Inc. CRD: 152634 | — | 0 | 0 | A | Unknown |
| Legacy Knight MFO, LLC CRD: 305927 | — | 0 | 1 | A | Unknown |
| Legacy MAP Design, LLC CRD: 297269 | — | 0 | 1 | A | Unknown |
| Legacy Partner Group CRD: 335418 | — | 0 | 1 | A | Unknown |
| Legacy Partners, LLC CRD: 159473 | — | 0 | 1 | A | Unknown |
| Legacy PCG, LLC CRD: 283909 | — | 0 | 2 | A | Unknown |
| Legacy Planning Group CRD: 145130 | — | 0 | 0 | A | Unknown |
| Legacy Prosperity Partners, LLC CRD: 288291 | — | 0 | 0 | A | Unknown |
| Legacy Road LLC CRD: 157356 | — | 0 | 0 | A | Unknown |