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 |
|---|---|---|---|---|---|
| Liquidnet, Inc. CRD: 103987 | NY | 11 | 2 | D | Active |
| Liquidpoint, LLC CRD: 47658 | — | 7 | 0 | D | INACTIVE |
| Liquifi LLC CRD: 335263 | MO | 0 | 1 | A | Active |
| Liquivest, Inc. CRD: 136816 | — | 0 | 0 | A | INACTIVE |
| LIS Inc CRD: 289168 | — | 0 | 1 | A | Unknown |
| Lisa N. Clarke CPA LLC CRD: 284101 | — | 0 | 0 | A | Unknown |
| Listen LLC CRD: 298352 | — | 0 | 1 | A | Unknown |
| LIT America, Inc. CRD: 22381 | — | 0 | 0 | A | INACTIVE |
| LIT Securities, Inc. CRD: 20070 | — | 0 | 0 | A | INACTIVE |
| Litchfield Financial Corp. CRD: 17616 | — | 0 | 0 | A | INACTIVE |
| Litespeed Management, L.L.C. CRD: 138539 | — | 0 | 0 | A | Unknown |
| Litorina V Advisor AB CRD: 293707 | — | 0 | 0 | A | Unknown |
| Littlejohn & Co., LLC CRD: 156720 | — | 0 | 1 | A | Unknown |
| Litton Financial CRD: 113063 | — | 0 | 0 | A | Unknown |
| Litvak Wealth, LLC CRD: 170805 | — | 0 | 1 | A | Unknown |
| LIV Wealth Management CRD: 334397 | — | 0 | 1 | A | Unknown |
| Live OAK Advisors, LLC CRD: 118417 | — | 0 | 2 | A | Unknown |
| Live OAK Family Offices LLC CRD: 141570 | — | 0 | 0 | A | Unknown |
| Live OAK III-B SPV, LP CRD: 334456 | — | 0 | 1 | A | Unknown |
| Live OAK Partners CRD: 289169 | — | 0 | 0 | A | Unknown |
| Livelihood LLC CRD: 301645 | — | 0 | 7 | A | Unknown |
| Lively Financial LLC CRD: 324940 | — | 0 | 1 | A | Unknown |
| Lively Wealth, LLC CRD: 320963 | — | 0 | 0 | A | Unknown |
| Livery Lane Capital LLC CRD: 297097 | — | 0 | 1 | A | Unknown |
| Livet Wealth, LLC CRD: 337826 | — | 0 | 1 | A | Unknown |
| Livingbridge EP LLP CRD: 160244 | — | 0 | 0 | A | Unknown |
| Livingston Wealth Advisory CRD: 336849 | — | 0 | 1 | A | Unknown |
| Lizard Investors LLC CRD: 147284 | — | 0 | 1 | A | Unknown |
| LJL, LLC CRD: 36441 | — | 0 | 0 | A | INACTIVE |
| LJS Capital, LLC CRD: 148869 | — | 0 | 0 | A | INACTIVE |
| LK&A Investment Counsel CRD: 106635 | — | 0 | 2 | A | Unknown |
| LKB & Associates Ltd. CRD: 151789 | — | 0 | 0 | A | Unknown |
| LL Chandos & Co CRD: 25592 | — | 0 | 0 | A | INACTIVE |
| LL Funds CRD: 161552 | — | 0 | 1 | A | Unknown |
| LL Partners, Inc. CRD: 32189 | — | 2 | 0 | B | INACTIVE |
| LLG Wealth Management CRD: 289348 | — | 0 | 1 | A | Unknown |
| Lloyd Capital LLC CRD: 158668 | — | 0 | 0 | A | Unknown |
| Lloyd Park, LLC CRD: 174032 | — | 0 | 1 | A | Unknown |
| Lloyds Bank PLC CRD: 161257 | — | 0 | 0 | A | Unknown |
| Lloyds Securities CRD: 154515 | NY | 0 | 2 | A | Active |
| LLR Management, L.P. CRD: 157588 | — | 0 | 0 | A | Unknown |
| LLR Walnut, L.P. CRD: 300267 | — | 0 | 0 | A | Unknown |
| LM + Co. Capital CRD: 154583 | — | 0 | 0 | A | INACTIVE |
| LM Advisors LLC CRD: 153940 | — | 0 | 1 | A | Unknown |
| LM Capital Corporation CRD: 18368 | — | 0 | 0 | A | INACTIVE |
| LM Capital Group, LLC CRD: 120277 | — | 0 | 1 | A | Unknown |
| LMBL, LLC CRD: 329559 | — | 0 | 0 | A | Unknown |
| LMC Investments, Inc. CRD: 105351 | — | 0 | 1 | A | Unknown |
| LMCG Investments, LLC CRD: 149936 | — | 0 | 2 | A | Unknown |
| Lmdagg, L.L.C. CRD: 297340 | — | 0 | 1 | A | Unknown |