Broker-Dealer Firms
279 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 |
|---|---|---|---|---|---|
| Frec Securities LLC CRD: 316641 | CA | 0 | 2 | A | Active |
| FTP Securities LLC CRD: 129356 | CA | 1 | 3 | B | Active |
| FWS Retirement Services, LLC CRD: 152878 | CA | 0 | 2 | A | Active |
| G.W. Sherwold Associates, Inc CRD: 42186 | CA | 0 | 3 | A | Active |
| Galt Financial Group, Inc. CRD: 146976 | CA | 0 | 2 | A | Active |
| Gcmi Securities Corp. CRD: 139520 | CA | 0 | 2 | A | Active |
| Gilmartin Financial CRD: 312622 | CA | 0 | 3 | A | Active |
| Glendale Securities, Inc. CRD: 123649 | CA | 6 | 4 | B | Active |
| Global Digital Markets CRD: 298720 | CA | 0 | 1 | A | Active |
| Globalink Securities, Inc. CRD: 29721 | CA | 4 | 5 | B | Active |
| Globalist Capital, LLC CRD: 152786 | CA | 0 | 2 | A | Active |
| GP Bullhound Inc. CRD: 147794 | CA | 0 | 3 | A | Active |
| Great Pacific Securities CRD: 29251 | CA | 2 | 5 | B | Active |
| Greenbrier Diversified, Inc. CRD: 18203 | CA | 0 | 2 | A | Active |
| Greif & Co. CRD: 30345 | CA | 0 | 2 | A | Active |
| Griffin Capital Securities, LLC CRD: 37739 | CA | 2 | 3 | B | Active |
| Griffinest Asia Securities, LLC CRD: 132187 | CA | 1 | 2 | B | Active |
| Growth Partners Investment Banking CRD: 45648 | CA | 0 | 2 | A | Active |
| Growthpoint Technology Partners, LLC CRD: 137438 | CA | 1 | 2 | B | Active |
| GT Securities, Inc. CRD: 116012 | CA | 0 | 2 | A | Active |
| Gusto Brokerage, LLC CRD: 332412 | CA | 0 | 3 | A | Active |
| Hamilton Grant LLC CRD: 166180 | CA | 0 | 9 | A | Active |
| Higgins Capital Management, Inc. CRD: 39985 | CA | 0 | 3 | A | Active |
| Hill Securities LLC CRD: 338653 | CA | 0 | 1 | A | Active |
| Honey Badger Investment Securities, LLC CRD: 285387 | CA | 0 | 3 | A | Active |
| Houlihan Lokey Capital, Inc. CRD: 17708 | CA | 2 | 14 | C | Active |
| Hudson Capital Advisors BD LLC CRD: 132424 | CA | 1 | 4 | B | Active |
| I5Equity CRD: 298949 | CA | 0 | 4 | A | Active |
| Icon Capital Group, LLC CRD: 4029 | CA | 0 | 2 | A | Active |
| Ifast Securities US Corporation CRD: 327903 | CA | 0 | 2 | A | Active |
| IM Global US Distributors LLC CRD: 299892 | CA | 0 | 3 | A | Active |
| Imperial Capital, LLC CRD: 43744 | CA | 3 | 6 | B | Active |
| Imperii Securities LLC CRD: 315756 | CA | 0 | 2 | A | Active |
| Independent Financial Group, LLC CRD: 7717 | CA | 17 | 395 | B | Active |
| Infinity Financial Services CRD: 144302 | CA | 4 | 36 | B | Active |
| Institutional Bond Network, LLC CRD: 187515 | CA | 0 | 4 | A | Active |
| Integral Financial LLC CRD: 120343 | CA | 3 | 4 | B | Active |
| Intrepid Investment Bankers LLC CRD: 154801 | CA | 0 | 7 | A | Active |
| Investment Placement Group CRD: 14458 | CA | 6 | 5 | B | Active |
| J K R & Company, Inc. CRD: 8040 | CA | 2 | 6 | B | Active |
| J. Wood Capital Advisors LLC CRD: 169097 | CA | 0 | 2 | A | Active |
| J.K. Financial Services, Inc. CRD: 103728 | CA | 3 | 5 | B | Active |
| James FOX Securities, Inc. CRD: 43632 | CA | 0 | 2 | A | Active |
| JCC Capital Markets, LLC CRD: 146776 | CA | 0 | 5 | A | Active |
| JCP Securities CRD: 140318 | CA | 0 | 2 | A | Active |
| JDL Securities Corporation CRD: 28131 | CA | 1 | 2 | B | Active |
| Jiko Securities Inc. CRD: 287507 | CA | 0 | 3 | A | Active |
| Jonestrading CRD: 6888 | CA | 9 | 21 | C | Active |
| KA Associates, LLC CRD: 32029 | CA | 1 | 3 | B | Active |
| KAL Capital Markets LLC CRD: 291333 | CA | 0 | 2 | A | Active |