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 |
|---|---|---|---|---|---|
| ACK Asset Management LLC CRD: 155136 | - | 0 | 1 | - | Unknown |
| Acker Finley Asset Management USA Inc. CRD: 110888 | - | 0 | 0 | - | Unknown |
| Acker, Wolman Securities Corp. CRD: 8254 | - | 0 | 0 | A | INACTIVE |
| Ackerman Asset Management, LLC CRD: 137958 | - | 0 | 2 | - | Unknown |
| Ackman Ziff Chazen Realty Advisors LLC CRD: 115892 | - | 0 | 0 | A | INACTIVE |
| Ackrell Capital, LLC CRD: 129847 | - | 0 | 0 | A | INACTIVE |
| Aclaime Asset Management, LLC CRD: 159661 | - | 0 | 1 | - | Unknown |
| ACM CRD: 285739 | - | 0 | 2 | - | Unknown |
| ACM Investment Advisor, LLC CRD: 159206 | - | 0 | 0 | - | Unknown |
| ACM Macro LLC CRD: 291039 | - | 0 | 1 | - | Unknown |
| Acme CRD: 168736 | - | 0 | 1 | - | Unknown |
| Acme Capital Group, LLC CRD: 299444 | - | 0 | 0 | - | Unknown |
| Acme Capital, LLC CRD: 169294 | - | 0 | 0 | - | Unknown |
| Acme Credit Partners CRD: 328087 | - | 0 | 1 | - | Unknown |
| Acme Jack Wealth Management CRD: 330120 | - | 0 | 1 | - | Unknown |
| Acme Securities Inc. CRD: 129406 | - | 0 | 0 | A | INACTIVE |
| ACN Securities Inc. CRD: 37645 | - | 6 | 0 | D | INACTIVE |
| Acolyte Advisors CRD: 165295 | - | 0 | 0 | - | Unknown |
| Acon Equity Management L.L.C. CRD: 159517 | - | 0 | 1 | - | Unknown |
| Acon Funds Management, LLC CRD: 158186 | - | 0 | 0 | - | Unknown |
| Acon Investments Management, LLC CRD: 162033 | - | 0 | 1 | - | Unknown |
| Acon Latam Management, L.L.C. CRD: 161535 | - | 0 | 1 | - | Unknown |
| Acon Saga Manager L.L.C. CRD: 162029 | - | 0 | 0 | - | Unknown |
| Acordia Securities, Inc. CRD: 34633 | - | 1 | 0 | B | INACTIVE |
| Acore Capital, LP CRD: 175054 | - | 0 | 1 | - | Unknown |
| Acorn & OAK Wealth Management CRD: 313322 | - | 0 | 2 | - | Unknown |
| Acorn Advisors, LLC CRD: 144006 | - | 0 | 0 | - | Unknown |
| Acorn Advisory Capital, L.P. CRD: 133040 | - | 0 | 1 | - | Unknown |
| Acorn Asset Management LLC CRD: 340572 | - | 0 | 1 | - | Unknown |
| Acorn Asset Management Ltd CRD: 290762 | - | 0 | 0 | - | Unknown |
| Acorn Capital Advisors, LLC CRD: 304164 | - | 0 | 1 | - | Unknown |
| Acorn Capital Corporation CRD: 10354 | - | 0 | 0 | A | INACTIVE |
| Acorn Capital Management CRD: 164499 | - | 0 | 1 | - | Unknown |
| Acorn Capital Partners, LLC CRD: 165393 | - | 0 | 2 | - | Unknown |
| Acorn Consulting CRD: 120329 | - | 0 | 0 | - | Unknown |
| Acorn Creek Capital LLC CRD: 325809 | - | 0 | 1 | - | Unknown |
| Acorn Financial Advisors, Inc. CRD: 142525 | - | 0 | 0 | - | Unknown |
| Acorn Financial Advisory Services, Inc. CRD: 116763 | - | 0 | 10 | - | Unknown |
| Acorn Financial Group, Inc. CRD: 167912 | - | 0 | 0 | - | Unknown |
| Acorn Financial Planning CRD: 168249 | - | 0 | 1 | - | Unknown |
| Acorn Financial, LLC CRD: 145436 | - | 0 | 0 | - | Unknown |
| Acorn Overseas Securities Co. CRD: 42901 | - | 0 | 0 | A | INACTIVE |
| Acorn Pacific Ventures CRD: 250786 | - | 0 | 1 | - | Unknown |
| Acorn Securities, Inc. CRD: 47359 | - | 0 | 0 | A | INACTIVE |
| Acorn Trading LLC CRD: 103798 | - | 0 | 0 | A | INACTIVE |
| Acorn Wealth Advisors, LLC CRD: 170462 | - | 0 | 3 | - | Unknown |
| Acorns CRD: 165926 | - | 0 | 15 | - | Unknown |
| Acorns Securities, LLC CRD: 168172 | CA | 2 | 2 | B | Active |
| Acosta Capital Advisors CRD: 336749 | - | 0 | 1 | - | Unknown |
| ACP Credit Management CRD: 336428 | - | 0 | 1 | - | Unknown |