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 |
|---|---|---|---|---|---|
| Legacy Securities Corp. CRD: 35532 | — | 2 | 0 | B | INACTIVE |
| Legacy Solutions, LLC CRD: 323360 | — | 0 | 1 | A | Unknown |
| Legacy Trading Co., LLC CRD: 46598 | — | 9 | 0 | D | INACTIVE |
| Legacy Wealth CRD: 306732 | — | 0 | 1 | A | Unknown |
| Legacy Wealth Group CRD: 340152 | — | 0 | 1 | A | Unknown |
| Legacy Wealth, Inc. CRD: 337405 | — | 0 | 1 | A | Unknown |
| Legato Investments, LLC CRD: 124934 | — | 0 | 0 | A | INACTIVE |
| Legatum Services LLC CRD: 316299 | — | 0 | 1 | A | Unknown |
| Legend Advisors, LLC CRD: 313341 | — | 0 | 0 | A | Unknown |
| Legend Advisory, LLC CRD: 104761 | — | 0 | 0 | A | Unknown |
| Legend Capital CRD: 163586 | — | 0 | 0 | A | Unknown |
| Legend Capital CRD: 336029 | — | 0 | 2 | A | Unknown |
| Legend Trading, LLC CRD: 150567 | — | 7 | 0 | D | INACTIVE |
| Legend WM CRD: 174259 | — | 0 | 0 | A | Unknown |
| Legg Mason Masten Inc. CRD: 2 | — | 0 | 0 | A | INACTIVE |
| Legg Mason Warren York, Inc. CRD: 873 | — | 0 | 0 | A | INACTIVE |
| Legg Mason Wood Walker, Incorporated CRD: 6555 | — | 71 | 0 | F | INACTIVE |
| Leggett Ventures CRD: 326175 | — | 0 | 1 | A | Unknown |
| Legs Financial CRD: 331204 | — | 0 | 1 | A | Unknown |
| LEH Advisors LLC CRD: 326909 | — | 0 | 1 | A | Unknown |
| LEH II Management LLC CRD: 328785 | — | 0 | 1 | A | Unknown |
| Lehane TAX CRD: 145470 | — | 0 | 0 | A | Unknown |
| Lehmann, Livian, Fridson Advisors, LLC CRD: 169980 | — | 0 | 1 | A | Unknown |
| Leibniz Group Corp. CRD: 329041 | — | 0 | 0 | A | Unknown |
| Leifm LLC CRD: 336293 | — | 0 | 1 | A | Unknown |
| Leigh Baldwin & Co., LLC CRD: 38751 | NY | 5 | 34 | B | Active |
| LEL Investment LLC CRD: 306840 | — | 0 | 1 | A | Unknown |
| LEL Investment, LLC CRD: 286453 | — | 0 | 0 | A | Unknown |
| Lelah Financial, LLC CRD: 294223 | — | 0 | 1 | A | Unknown |
| LEM Capital, L.P. CRD: 159817 | — | 0 | 1 | A | Unknown |
| Lemans Portfolio Design L.L.C. CRD: 120899 | — | 0 | 0 | A | Unknown |
| Lembas Capital LLC CRD: 299625 | — | 0 | 0 | A | Unknown |
| Lembas Research, LLC CRD: 323506 | — | 0 | 0 | A | Unknown |
| Lemley Yarling Management Co CRD: 110792 | — | 0 | 2 | A | Unknown |
| Lemley, Yarling & Co. CRD: 18234 | KY | 2 | 2 | B | Active |
| Lemnis Capital CRD: 340137 | — | 0 | 1 | A | Unknown |
| Lemnos Labs Inc. CRD: 163685 | — | 0 | 1 | A | Unknown |
| Lemot, Inc. CRD: 15308 | — | 0 | 0 | A | INACTIVE |
| Lenape Investments, LLC CRD: 281804 | — | 0 | 1 | A | Unknown |
| Lend Lease Capital Markets, Inc. CRD: 21190 | — | 0 | 0 | A | INACTIVE |
| Length LLC CRD: 333109 | — | 0 | 1 | A | Unknown |
| Lenk Ladner Investment Solutions LLC CRD: 109927 | — | 0 | 2 | A | Unknown |
| Lennox Financial CRD: 132182 | — | 0 | 2 | A | Unknown |
| Lens Investments CRD: 166901 | — | 0 | 1 | A | Unknown |
| Lenz Integrity Financial, L.L.C. CRD: 285896 | — | 0 | 0 | A | Unknown |
| Lenz Securities, Inc. CRD: 13116 | — | 0 | 0 | A | INACTIVE |
| LEO Brokerage, LLC CRD: 109121 | TX | 2 | 7 | B | Active |
| LEO Fund Services, LLC CRD: 163259 | — | 0 | 2 | A | Unknown |
| LEO GP GMBH CRD: 330885 | — | 0 | 0 | A | Unknown |
| LEO Group, Inc. CRD: 29340 | — | 2 | 0 | B | INACTIVE |