Broker-Dealer Firms
200 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 |
|---|---|---|---|---|---|
| Hovde Group, LLC CRD: 25425 | IL | 1 | 7 | B | Active |
| Huron Transaction Advisory LLC CRD: 166959 | IL | 0 | 4 | A | Active |
| Iasg Alternatives, LLC CRD: 175478 | IL | 0 | 3 | A | Active |
| IHT Securities, LLC CRD: 297984 | IL | 0 | 2 | A | Active |
| IMC Execution Services CRD: 301273 | IL | 0 | 2 | A | Active |
| IMC Financial Markets CRD: 104143 | IL | 40 | 2 | F | Active |
| IMC Securities LLC CRD: 144874 | IL | 3 | 1 | C | Active |
| Inland Securities Corporation CRD: 15807 | IL | 3 | 2 | B | Active |
| Insight Securities, Inc. CRD: 5611 | IL | 7 | 18 | B | Active |
| Investment Planners, Inc. CRD: 18557 | IL | 2 | 42 | B | Active |
| James T. Borello & Co. CRD: 16860 | IL | 0 | 3 | A | Active |
| Jaypee International, Inc. CRD: 135719 | IL | 3 | 2 | B | Active |
| Jones Lang Lasalle Securities, LLC CRD: 120738 | IL | 0 | 8 | A | Active |
| Joseph Eden Capital, LLC CRD: 310317 | IL | 0 | 2 | A | Active |
| Jump Execution, LLC CRD: 313060 | IL | 0 | 5 | A | Active |
| Jump Trading, LLC CRD: 106124 | IL | 15 | 6 | D | Active |
| JVM Securities, LLC CRD: 290327 | IL | 1 | 2 | B | Active |
| Kimbank Capital Group, LLC CRD: 334558 | IL | 0 | 2 | A | Active |
| KPMG Corporate Finance LLC CRD: 103973 | IL | 0 | 12 | A | Active |
| Kroll Securities LLC CRD: 36927 | IL | 1 | 5 | B | Active |
| Lakeshore Securities, L.P. CRD: 34381 | IL | 13 | 2 | D | Active |
| Lamberson Capital LLC CRD: 282040 | IL | 2 | 1 | B | Active |
| Landolt Securities, Inc. CRD: 28352 | IL | 5 | 18 | B | Active |
| Lasalle Investment Management Distributors, LLC CRD: 157625 | IL | 0 | 7 | A | Active |
| Lasalle ST Securities, L.L.C. CRD: 7191 | IL | 19 | 118 | B | Active |
| LBMZ Securities, Inc. CRD: 7874 | IL | 8 | 3 | C | Active |
| Legionnaire Securities LLC CRD: 297422 | IL | 0 | 1 | A | Active |
| Lincoln International LLC CRD: 42045 | IL | 1 | 9 | B | Active |
| Livingfree Securities, LLC CRD: 325166 | IL | 0 | 3 | A | Active |
| Loop Capital Markets LLC CRD: 43098 | IL | 8 | 26 | C | Active |
| M1 Finance LLC CRD: 281242 | IL | 3 | 3 | B | Active |
| Mack Investment Securities, Inc. CRD: 17643 | IL | 0 | 6 | A | Active |
| Marathon Capital Markets, LLC CRD: 103767 | IL | 0 | 6 | A | Active |
| Marc J. Lane & Company CRD: 16188 | IL | 1 | 2 | B | Active |
| March Capital Corp. CRD: 24142 | IL | 0 | 7 | A | Active |
| Matrix Executions, LLC CRD: 38455 | IL | 9 | 3 | C | Active |
| Maven Global Markets Trading LLP CRD: 317195 | IL | 0 | 2 | A | Active |
| Mesirow Financial, Inc. CRD: 2764 | IL | 19 | 41 | C | Active |
| Metronome Securities, LLC CRD: 158957 | IL | 0 | 2 | A | Active |
| Metropolitan Capital Investment Banc, Inc. CRD: 148820 | IL | 0 | 3 | A | Active |
| Midwestern Securities Trading Company, LLC CRD: 101080 | IL | 0 | 92 | A | Active |
| Milliman Investment Management Services LLC CRD: 292521 | IL | 0 | 2 | A | Active |
| Monere Investments, Inc. CRD: 105487 | IL | 0 | 3 | A | Active |
| MWA Financial Services Inc. CRD: 112630 | IL | 1 | 414 | B | Active |
| Natisa Securities LLC CRD: 323904 | IL | 0 | 2 | A | Active |
| North South Capital, LLC CRD: 148158 | IL | 1 | 5 | B | Active |
| Northern Trust Securities, Inc. CRD: 7927 | IL | 8 | 140 | B | Active |
| Nuveen Securities, LLC CRD: 469 | IL | 10 | 15 | C | Active |
| Oberweis Securities, Inc. CRD: 42060 | IL | 2 | 2 | B | Active |
| OLD Mission Capital, LLC CRD: 146991 | IL | 8 | 3 | D | Active |