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 |
|---|---|---|---|---|---|
| Luma Securities LLC CRD: 157803 | NY | 0 | 2 | A | Active |
| Lumbard & Kellner, LLC CRD: 117196 | — | 0 | 3 | A | Unknown |
| Lumen Capital Management, L.L.C. CRD: 123705 | — | 0 | 2 | A | Unknown |
| Lumen Funds CRD: 149283 | — | 0 | 0 | A | Unknown |
| Lumen Management LLC CRD: 171267 | — | 0 | 0 | A | Unknown |
| Lumia Capital CRD: 162119 | — | 0 | 1 | A | Unknown |
| Lumia Wealth, LLC CRD: 124276 | — | 0 | 0 | A | Unknown |
| Lumiere BAY CRD: 308212 | — | 0 | 1 | A | Unknown |
| Lumiere Financial CRD: 319171 | — | 0 | 5 | A | Unknown |
| Lumin Financial, LLC CRD: 124138 | — | 0 | 0 | A | Unknown |
| Lumina Advisors, LLC CRD: 289712 | — | 0 | 0 | A | Unknown |
| Lumina Financial LLC CRD: 165966 | — | 0 | 0 | A | Unknown |
| Luminary Capital, LLC CRD: 283241 | — | 0 | 0 | A | Unknown |
| Luminary Wealth CRD: 116484 | — | 0 | 2 | A | Unknown |
| Luminist Capital, LLC CRD: 173396 | — | 0 | 3 | A | Unknown |
| Luminova Group LLC CRD: 336711 | — | 0 | 1 | A | Unknown |
| Lumint Corporation CRD: 324443 | — | 0 | 1 | A | Unknown |
| Luminus Management, LLC CRD: 157536 | — | 0 | 1 | A | Unknown |
| Lumira Ventures CRD: 164152 | — | 0 | 0 | A | Unknown |
| Lumora Wealth CRD: 334098 | — | 0 | 0 | A | Unknown |
| Lumos Partners, LLC CRD: 165050 | — | 0 | 0 | A | INACTIVE |
| Lumx Asset Management (U.K.) Ltd CRD: 298582 | — | 0 | 0 | A | Unknown |
| Luna Partners CRD: 311369 | — | 0 | 1 | A | Unknown |
| Lunch Partners GP, LLC CRD: 290464 | — | 0 | 1 | A | Unknown |
| Lunedi Capital LLC CRD: 335457 | — | 0 | 1 | A | Unknown |
| Lungu Capital Group CRD: 311881 | — | 0 | 0 | A | Unknown |
| Lunia Capital LP CRD: 286052 | — | 0 | 0 | A | Unknown |
| Lupin Investment Co. Ltd. CRD: 269944 | — | 0 | 0 | A | Unknown |
| Lupin Investment Co. Ltd. CRD: 308987 | — | 0 | 0 | A | Unknown |
| Lupo Futures, LLC CRD: 155931 | — | 2 | 0 | B | INACTIVE |
| Lupo Securities, LLC CRD: 43761 | — | 14 | 0 | D | INACTIVE |
| Lupu Financial CRD: 311610 | — | 0 | 1 | A | Unknown |
| Lupu USA, LLC CRD: 309873 | — | 0 | 0 | A | Unknown |
| Lurima Capital Ltd CRD: 341088 | — | 0 | 1 | A | Unknown |
| Luther Forest Wealth Advisors, L.L.C. CRD: 142714 | — | 0 | 2 | A | Unknown |
| Luther, Smith & Small, Inc. CRD: 11095 | — | 0 | 0 | A | INACTIVE |
| Lutr Star LLC CRD: 341148 | — | 0 | 1 | A | Unknown |
| Lutsen Advisors LLC CRD: 286212 | — | 0 | 0 | A | Unknown |
| Lutz Financial CRD: 117273 | — | 0 | 2 | A | Unknown |
| Lutz, Thomas P. CRD: 119617 | — | 0 | 0 | A | INACTIVE |
| LUX Advisors LLC CRD: 289009 | — | 0 | 0 | A | Unknown |
| Luxon Brown CRD: 333800 | — | 0 | 3 | A | Unknown |
| Luxton Financial CRD: 146114 | — | 0 | 0 | A | Unknown |
| LV Advisory SPA CRD: 290350 | — | 0 | 0 | A | Unknown |
| LVC Management Limited CRD: 308321 | — | 0 | 0 | A | Unknown |
| LVH, LLC CRD: 283149 | — | 0 | 0 | A | Unknown |
| LVL Research LLC CRD: 277081 | — | 0 | 0 | A | Unknown |
| Lvna Management LLC CRD: 317105 | — | 0 | 1 | A | Unknown |
| LVPMC, LLC CRD: 161750 | — | 0 | 0 | A | Unknown |
| LVR Research, LLC CRD: 174438 | — | 0 | 1 | A | Unknown |