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 |
|---|---|---|---|---|---|
| 140 Summer Partners LP CRD: 308929 | - | 0 | 1 | - | Unknown |
| 1414 Ventures CRD: 321780 | - | 0 | 1 | - | Unknown |
| 1457 Management Group, LLC CRD: 297561 | - | 0 | 0 | - | Unknown |
| 147TH Group LLC CRD: 306848 | - | 0 | 2 | - | Unknown |
| 1487297 B.C. Ltd. CRD: 334524 | - | 0 | 0 | - | Unknown |
| 1492 Capital Management, LLC CRD: 148566 | - | 0 | 1 | - | Unknown |
| 14B Capital Management LP CRD: 319022 | - | 0 | 0 | - | Unknown |
| 14Peaks Capital AG CRD: 322492 | - | 0 | 0 | - | Unknown |
| 14W Ventures GP LLC CRD: 283437 | - | 0 | 0 | - | Unknown |
| 15 Equity CRD: 310628 | - | 0 | 3 | - | Unknown |
| 15 Wealth Advisors LLC CRD: 337459 | - | 0 | 3 | - | Unknown |
| 1505 Capital LLC CRD: 298880 | - | 0 | 1 | - | Unknown |
| 151 Capital Management LLC CRD: 314992 | - | 0 | 0 | - | Unknown |
| 1517 Fund CRD: 281914 | - | 0 | 1 | - | Unknown |
| 1522 Financial CRD: 319149 | - | 0 | 2 | - | Unknown |
| 154 Partners Investment Management LLC CRD: 333601 | - | 0 | 0 | - | Unknown |
| 1543 Capital LP CRD: 305398 | - | 0 | 1 | - | Unknown |
| 15TH Street Capital Management LLC CRD: 285624 | - | 0 | 0 | - | Unknown |
| 16 Points LLC CRD: 277033 | PR | 0 | 2 | A | Active |
| 1607 Capital Partners, LLC CRD: 144758 | - | 0 | 1 | - | Unknown |
| 1618 Advisors LLC CRD: 329864 | - | 0 | 1 | - | Unknown |
| 1620 Investment Advisors, Inc. CRD: 119262 | - | 0 | 3 | - | Unknown |
| 1623 Capital LLC CRD: 299755 | - | 0 | 0 | - | Unknown |
| 1650 Wealth Management, LLC CRD: 152985 | - | 0 | 1 | - | Unknown |
| 1686 Partners GP S.À R.L. CRD: 331332 | - | 0 | 0 | - | Unknown |
| 16Rock Asset Management LLC CRD: 326709 | - | 0 | 0 | - | Unknown |
| 16TH Amendment Advisors LLC CRD: 150575 | - | 0 | 1 | - | Unknown |
| 17 Capital LLP CRD: 309705 | - | 0 | 0 | - | Unknown |
| 17 Capital Partners, LLC CRD: 283013 | - | 0 | 1 | - | Unknown |
| 17 Pembroke Advisors CRD: 288498 | - | 0 | 0 | - | Unknown |
| 17 Sigma Capital Partners LLC CRD: 326783 | - | 0 | 0 | - | Unknown |
| 1707 Capital, LLC CRD: 331955 | - | 0 | 1 | - | Unknown |
| 1717 Capital Management Company CRD: 4082 | - | 5 | 0 | C | INACTIVE |
| 1719 Capital Partners LP CRD: 310531 | - | 0 | 0 | - | Unknown |
| 1745 Ventures Management, LLC CRD: 336619 | - | 0 | 1 | - | Unknown |
| 1776 Management, LLC CRD: 172225 | - | 0 | 0 | - | Unknown |
| 1776 Wealth Architects, LLC CRD: 283367 | - | 0 | 0 | - | Unknown |
| 1776 Wealth LLC CRD: 286321 | - | 0 | 1 | - | Unknown |
| 1789 Capital Management CRD: 335007 | - | 0 | 1 | - | Unknown |
| 1789 GP, LLC CRD: 315495 | - | 0 | 0 | - | Unknown |
| 1789 Management, LLC CRD: 325249 | - | 0 | 1 | - | Unknown |
| 1789 Mineral Friends & Family Fund, LLC CRD: 306561 | - | 0 | 0 | - | Unknown |
| 1791 Management LLC CRD: 309414 | - | 0 | 0 | - | Unknown |
| 1792 Securities, LLC CRD: 146048 | - | 4 | 0 | C | INACTIVE |
| 1796 Investment Management & Consulting CRD: 310550 | - | 0 | 0 | - | Unknown |
| 17Capital Americas Inc CRD: 285059 | - | 0 | 0 | - | Unknown |
| 18 Fund Management LLC CRD: 335358 | - | 0 | 1 | - | Unknown |
| 18 Somerset Capital Management, LLC CRD: 323038 | - | 0 | 0 | - | Unknown |
| 18 Ventures CRD: 307954 | - | 0 | 0 | - | Unknown |
| 18 West Capital Partners LLC CRD: 330697 | - | 0 | 1 | - | Unknown |