Broker-Dealer Firms
114 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 |
|---|---|---|---|---|---|
| Tzero Digital Asset Securities, LLC CRD: 316189 | NJ | 0 | 3 | A | Active |
| Tzero Securities, LLC CRD: 123421 | NJ | 1 | 3 | B | Active |
| UBS Financial Services Inc. CRD: 8174 | NJ | 926 | 6,346 | C | Active |
| VBC Securities, LLC CRD: 5407 | NJ | 3 | 2 | B | Active |
| Velocity Clearing, LLC CRD: 126588 | NJ | 19 | 8 | C | Active |
| Watermill Institutional Trading LLC CRD: 150892 | NJ | 0 | 4 | A | Active |
| WBB Securities, LLC CRD: 118440 | NJ | 1 | 5 | B | Active |
| Wealth House Capital Inc. CRD: 323088 | NJ | 0 | 2 | A | Active |
| Whitemarsh Capital Advisors CRD: 127373 | NJ | 1 | 2 | B | Active |
| Withum Capital, LLC CRD: 323214 | NJ | 0 | 2 | A | Active |
| Wolf a. Popper, Inc. CRD: 44974 | NJ | 1 | 2 | B | Active |
| World Investments, LLC CRD: 20626 | NJ | 6 | 134 | B | Active |
| Xorro LLC CRD: 336257 | NJ | 0 | 1 | A | Active |
| Yorkville Securities, LLC CRD: 330480 | NJ | 0 | 7 | A | Active |
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