Broker-Dealer Firms
189 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 |
|---|---|---|---|---|---|
| Maplewood Investments, Inc. CRD: 103723 | TX | 1 | 7 | B | Active |
| MDB Capital CRD: 42677 | TX | 3 | 2 | B | Active |
| Metric Point Capital, LLC CRD: 287519 | TX | 0 | 6 | A | Active |
| Microventure Marketplace Inc. CRD: 152513 | TX | 1 | 2 | B | Active |
| Midland Securities, Ltd CRD: 23736 | TX | 3 | 3 | B | Active |
| Mitchell Energy Advisors, LLC CRD: 134989 | TX | 0 | 2 | A | Active |
| Momentum Independent Network Inc. CRD: 17587 | TX | 13 | 131 | B | Active |
| Monex Securities, Inc. CRD: 30362 | TX | 7 | 4 | B | Active |
| Monticello Financial Group, LLC CRD: 300926 | TX | 0 | 2 | A | Active |
| Moody Securities, LLC CRD: 148771 | TX | 1 | 2 | B | Active |
| Municipal Capital Markets Group, Inc. CRD: 107353 | TX | 2 | 5 | B | Active |
| Murray Securities, Inc. CRD: 142783 | TX | 1 | 3 | B | Active |
| Natalliance Securities, LLC CRD: 39455 | TX | 8 | 14 | B | Active |
| Navidar Group LLC CRD: 148011 | TX | 0 | 2 | A | Active |
| Netshares Financial Services LLC CRD: 307532 | TX | 0 | 2 | A | Active |
| Nexbank Securities Inc CRD: 133267 | TX | 2 | 2 | B | Active |
| Nexpoint Securities, Inc. CRD: 165013 | TX | 1 | 2 | B | Active |
| Nextrend Securities, Inc. CRD: 43710 | TX | 1 | 2 | B | Active |
| Nobles & Richards, Inc. CRD: 146870 | TX | 2 | 4 | B | Active |
| North Investments Company LLC CRD: 329409 | TX | 0 | 1 | A | Active |
| Northview Advisors LLC CRD: 323786 | TX | 0 | 3 | A | Active |
| OLD Slip Capital Management, Inc. CRD: 7360 | TX | 3 | 2 | B | Active |
| Open Lane Capital Advisors, LLC CRD: 329114 | TX | 0 | 2 | A | Active |
| Opportune Partners LLC CRD: 293414 | TX | 0 | 2 | A | Active |
| Pacenote Capital LLC CRD: 305007 | TX | 0 | 2 | A | Active |
| Park Walk Capital Markets, LLC CRD: 304551 | TX | 0 | 2 | A | Active |
| Partners Finance CRD: 315067 | TX | 0 | 3 | A | Active |
| PEP Advisory LLC CRD: 166636 | TX | 0 | 4 | A | Active |
| Perryman Securities, Inc. CRD: 116502 | TX | 0 | 3 | A | Active |
| Petrie Partners Securities, LLC CRD: 131783 | TX | 0 | 3 | A | Active |
| PH Partners, LLC CRD: 130790 | TX | 3 | 2 | B | Active |
| PPHB Securities LP CRD: 132074 | TX | 0 | 2 | A | Active |
| Preferred Client Group, Inc. CRD: 48008 | TX | 0 | 2 | A | Active |
| Prospera Financial Services, Inc. CRD: 10740 | TX | 13 | 171 | B | Active |
| Quantlab Brokerage, LLC CRD: 299468 | TX | 0 | 2 | A | Active |
| RCX Capital Group, LLC CRD: 114290 | TX | 1 | 5 | B | Active |
| Realized Financial, Inc. CRD: 22333 | TX | 0 | 8 | A | Active |
| Redbridge Global Markets, LLC CRD: 319550 | TX | 0 | 2 | A | Active |
| Redbridge Securities LLC CRD: 287912 | TX | 1 | 2 | B | Active |
| Redswan Markets, LLC CRD: 322259 | TX | 0 | 1 | A | Active |
| Reef Securities, Inc. CRD: 31951 | TX | 9 | 2 | C | Active |
| Resolute Investment Distributors, Inc. CRD: 287788 | TX | 0 | 4 | A | Active |
| Rhodes Securities, Inc. CRD: 19610 | TX | 4 | 6 | B | Active |
| Ridgeback Securities, Ltd CRD: 120448 | TX | 0 | 4 | A | Active |
| Rivington Securities, LLC CRD: 120689 | TX | 0 | 3 | A | Active |
| Rocket Dollar Capital, LLC CRD: 314075 | TX | 0 | 2 | A | Active |
| Salient Capital L.P. CRD: 147912 | TX | 0 | 3 | A | Active |
| Samco Capital Markets, Inc. CRD: 136532 | TX | 0 | 8 | A | Active |
| Sanders Morris LLC CRD: 20580 | TX | 21 | 5 | C | Active |
| Scaleview Securities LLC CRD: 318523 | TX | 0 | 2 | A | Active |