Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Blue OWL Securities CRD: 283250 | NY | 0 | 9 | A | Active |
| Bluefin Capital Management, LLC CRD: 113892 | NY | 18 | 4 | C | Active |
| Bluerock Capital Markets LLC CRD: 136974 | NY | 0 | 3 | A | Active |
| Bluestone Growth Partners LLC CRD: 168098 | NY | 0 | 2 | A | Active |
| BMI Capital International LLC CRD: 154670 | NY | 1 | 2 | B | Active |
| BMO Capital Markets Corp. CRD: 16686 | NY | 47 | 25 | D | Active |
| BMS Capital Advisory, Inc. CRD: 169092 | NY | 0 | 4 | A | Active |
| BNP Paribas Securities Corp. CRD: 15794 | NY | 101 | 9 | D | Active |
| BNY Mellon Capital Markets, LLC CRD: 17454 | NY | 26 | 9 | D | Active |
| BNY Mellon Securities Corporation CRD: 231 | NY | 13 | 84 | B | Active |
| Bofa Securities Prime, Inc. CRD: 316331 | NY | 0 | 3 | A | Active |
| Bofa Securities, Inc. CRD: 283942 | NY | 74 | 126 | C | Active |
| BONDS.COM LLC CRD: 43875 | NY | 1 | 2 | B | Active |
| Bowne Park Capital, Inc. CRD: 154665 | NY | 0 | 2 | A | Active |
| Bradesco Securities, Inc. CRD: 104347 | NY | 0 | 2 | A | Active |
| Bradley Woods & Co. Ltd. CRD: 13660 | NY | 1 | 3 | B | Active |
| Brasil Plural Securities LLC CRD: 159384 | NY | 0 | 4 | A | Active |
| Breakwater Group Distribution Services, LLC CRD: 167601 | NY | 0 | 2 | A | Active |
| Brean Capital, LLC CRD: 23723 | NY | 12 | 23 | C | Active |
| Bren Ventures LLC CRD: 139768 | NY | 0 | 2 | A | Active |
| Brendan E. Cryan and Company, L.L.C. CRD: 33496 | NY | 5 | 1 | C | Active |
| Brevan Howard US LLC CRD: 150662 | NY | 0 | 2 | A | Active |
| Brighton Securities Corp. CRD: 3875 | NY | 8 | 10 | B | Active |
| Brighttower Securities LLC CRD: 318266 | NY | 0 | 2 | A | Active |
| Broadridge Business Process Outsourcing, LLC CRD: 114212 | NY | 0 | 6 | A | Active |
| Brock Securities LLC CRD: 122156 | NY | 1 | 2 | B | Active |
| Brokerageselect CRD: 47974 | NY | 0 | 2 | A | Active |
| Brokertec Americas LLC CRD: 47477 | NY | 1 | 3 | B | Active |
| Brookfield Private Advisors LLC CRD: 151423 | NY | 0 | 8 | A | Active |
| Brookfield Private Wealth LLC CRD: 313390 | NY | 0 | 4 | A | Active |
| Brookfield Securities LLC CRD: 327792 | NY | 0 | 2 | A | Active |
| Brown Brothers Harriman Investments, LLC CRD: 282732 | NY | 0 | 2 | A | Active |
| Brownstone Investment Group, LLC CRD: 43884 | NY | 0 | 6 | A | Active |
| BTG Pactual US Capital, LLC CRD: 149486 | NY | 2 | 4 | C | Active |
| BTM Consulting USA, LLC CRD: 327140 | NY | 0 | 1 | A | Active |
| Buckram Securities Ltd CRD: 126976 | NY | 0 | 3 | A | Active |
| Bunq CRD: 334829 | NY | 0 | 1 | A | Active |
| Butler Capital Partners CRD: 114242 | NY | 0 | 3 | A | Active |
| C. L. King & Associates, Inc. CRD: 6183 | NY | 9 | 3 | C | Active |
| Cais Capital LLC CRD: 154512 | NY | 0 | 4 | A | Active |
| Calamar Financial Group, LLC CRD: 283992 | NY | 0 | 3 | A | Active |
| Campbell Lutyens & Co. Inc. CRD: 133376 | NY | 0 | 5 | A | Active |
| Campfire Capital CRD: 168457 | NY | 1 | 2 | B | Active |
| Canaccord Genuity LLC CRD: 1020 | NY | 48 | 50 | C | Active |
| Canam Investor Services, LLC CRD: 158539 | NY | 0 | 2 | A | Active |
| Candeal Securities, LLC CRD: 173523 | NY | 0 | 2 | A | Active |
| Cantor Fitzgerald & Co. CRD: 134 | NY | 97 | 37 | D | Active |
| Capella Securities LLC CRD: 174167 | NY | 0 | 2 | A | Active |
| Capital Dynamics Broker Dealer LLC CRD: 148780 | NY | 0 | 2 | A | Active |
| Capitolis Global Broker Dealer LLC CRD: 325346 | NY | 0 | 2 | A | Active |