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 |
|---|---|---|---|---|---|
| Maven DEI Asset Management LLC CRD: 322111 | — | 0 | 0 | A | Unknown |
| Maven Group LLC CRD: 145419 | — | 0 | 2 | A | Unknown |
| Maven Royalty Management, LLC CRD: 288377 | — | 0 | 1 | A | Unknown |
| Maven Ventures CRD: 167770 | — | 0 | 1 | A | Unknown |
| Maven Wealth Management CRD: 314083 | — | 0 | 0 | A | Unknown |
| Maverick LTC, LLC CRD: 314482 | — | 0 | 0 | A | Unknown |
| Maverick Tech Fund Manager CRD: 339973 | — | 0 | 1 | A | Unknown |
| Maverick Value, LLC CRD: 172985 | — | 0 | 1 | A | Unknown |
| Maverick Wealth Management CRD: 226664 | — | 0 | 0 | A | Unknown |
| Maveron LLC CRD: 160495 | — | 0 | 1 | A | Unknown |
| Mavors Investment Managers CRD: 156892 | — | 0 | 0 | A | Unknown |
| Mavos Capital Management, LLC CRD: 323959 | — | 0 | 1 | A | Unknown |
| Maway LLC CRD: 291892 | — | 0 | 1 | A | Unknown |
| MAX Capital Corporation CRD: 145968 | — | 0 | 0 | A | Unknown |
| MAX Frost & Co., Inc. CRD: 112972 | — | 0 | 0 | A | Unknown |
| MAX Ventures CRD: 321920 | — | 0 | 1 | A | Unknown |
| Maxim Group LLC CRD: 120708 | NY | 37 | 7 | D | Active |
| Maxim Partners LLC CRD: 284529 | — | 0 | 0 | A | Unknown |
| Maxima Group, LLC CRD: 44443 | — | 0 | 0 | A | INACTIVE |
| Maximum Advisory CRD: 284983 | — | 0 | 1 | A | Unknown |
| Maximum Yield Investment Service, Inc. CRD: 13404 | — | 0 | 0 | A | INACTIVE |
| Maxon Financial CRD: 165480 | — | 0 | 0 | A | Unknown |
| Maxq Asset Management LLC CRD: 336560 | — | 0 | 1 | A | Unknown |
| Maxus Wealth Management LLC CRD: 333825 | — | 0 | 2 | A | Unknown |
| Maxwell and Morse Capital Management, Inc. CRD: 118334 | — | 0 | 2 | A | Unknown |
| Maxwell Wealth CRD: 317081 | — | 0 | 0 | A | Unknown |
| Maxxtrade, Inc. CRD: 106471 | — | 5 | 0 | C | INACTIVE |
| MAY & Barnhard, PC CRD: 121884 | — | 0 | 0 | A | Unknown |
| MAY & Gannon, Inc. CRD: 2688 | — | 0 | 0 | A | INACTIVE |
| MAY Capital Group, L.L.C. CRD: 37081 | NY | 0 | 2 | A | Active |
| MAY Capital Management CRD: 135127 | — | 0 | 1 | A | Unknown |
| MAY Financial Corporation CRD: 3927 | — | 6 | 0 | D | INACTIVE |
| MAY, Davis Group Inc. CRD: 35622 | — | 18 | 0 | D | INACTIVE |
| Maya Advisors, L.L.C. CRD: 318401 | — | 0 | 0 | A | Unknown |
| Maya Capital Management, LLC CRD: 304098 | — | 0 | 0 | A | Unknown |
| Maybank Securities USA Inc. CRD: 27861 | — | 0 | 0 | A | INACTIVE |
| Maycomb Wealth CRD: 299724 | — | 0 | 0 | A | Unknown |
| Mayer Capital Management, LLC CRD: 146733 | — | 0 | 0 | A | Unknown |
| Mayer Robert John CRD: 34112 | — | 0 | 0 | A | INACTIVE |
| Mayfair Advisory Group, LLC CRD: 304668 | — | 0 | 4 | A | Unknown |
| Mayfair Capital Markets LLC CRD: 149177 | — | 0 | 0 | A | INACTIVE |
| Mayfield Mauritius, Ltd. CRD: 294412 | — | 0 | 0 | A | Unknown |
| Maymont Partners, Inc. CRD: 120536 | — | 0 | 0 | A | INACTIVE |
| Mayport Wealth Management CRD: 288215 | — | 0 | 1 | A | Unknown |
| Mays Investments CRD: 14900 | — | 0 | 0 | A | INACTIVE |
| Maywic GP, LLC CRD: 288350 | — | 0 | 0 | A | Unknown |
| Maywic II GP, LLC CRD: 288544 | — | 0 | 0 | A | Unknown |
| Maywic Management, LLC CRD: 331259 | — | 0 | 1 | A | Unknown |
| Mazakali CRD: 301488 | — | 0 | 0 | A | Unknown |
| Mazama Capital Management Inc CRD: 108405 | — | 0 | 0 | A | Unknown |