Broker-Dealer Firms
80,028 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 |
|---|---|---|---|---|---|
| Actera Group Ltd CRD: 163398 | - | 0 | 0 | - | Unknown |
| Acteve LLC CRD: 284709 | - | 0 | 0 | - | Unknown |
| Actify Investor Retirements, LLC CRD: 284506 | - | 0 | 2 | - | Unknown |
| Actio Capital Manager, LLC CRD: 334372 | - | 0 | 1 | - | Unknown |
| Action II, Inc. CRD: 46489 | - | 0 | 0 | A | INACTIVE |
| Action Point Retirement Group LLC CRD: 282058 | - | 0 | 1 | - | Unknown |
| Actionplan Financial, LLC CRD: 283443 | - | 0 | 0 | - | Unknown |
| Actis CRD: 160424 | - | 0 | 0 | - | Unknown |
| Actis EU Management S.À R.L. CRD: 328083 | - | 0 | 0 | - | Unknown |
| Actis GP CRD: 168712 | - | 0 | 0 | - | Unknown |
| Actis UK Advisers Limited CRD: 328002 | - | 0 | 0 | - | Unknown |
| Actis Wealth Management CRD: 306794 | - | 0 | 1 | - | Unknown |
| Actium Group LLC CRD: 307495 | - | 0 | 1 | - | Unknown |
| Activ8 Family Office LLC CRD: 337753 | - | 0 | 6 | - | Unknown |
| Activa Asset Management, LLC CRD: 47781 | - | 0 | 0 | A | INACTIVE |
| Activa Capital CRD: 307250 | - | 0 | 0 | - | Unknown |
| Activa Capital Markets, Inc. CRD: 42619 | - | 2 | 0 | B | INACTIVE |
| Activant Capital Group LLC CRD: 173856 | - | 0 | 1 | - | Unknown |
| Activate Capital Partners CRD: 307073 | - | 0 | 1 | - | Unknown |
| Activate Venture Partners CRD: 334513 | - | 0 | 1 | - | Unknown |
| Activate Wealth LLC CRD: 305668 | - | 0 | 0 | - | Unknown |
| Activation Fund CRD: 312604 | - | 0 | 1 | - | Unknown |
| Active Alts Inc. CRD: 282287 | - | 0 | 0 | - | Unknown |
| Active Alts Inc. CRD: 283778 | - | 0 | 0 | - | Unknown |
| Active Alts Inc. CRD: 285036 | - | 0 | 0 | - | Unknown |
| Active Impact Investment Advisors CRD: 299709 | - | 0 | 0 | - | Unknown |
| Active Investment Management, LLC CRD: 284181 | - | 0 | 0 | - | Unknown |
| Active Ownership Corporation S.À R.L. CRD: 310391 | - | 0 | 0 | - | Unknown |
| Active Robo CRD: 285268 | - | 0 | 0 | - | Unknown |
| Active Trading Investments, Inc. CRD: 146906 | - | 0 | 0 | - | Unknown |
| Active Venture Partners, LLC CRD: 294383 | - | 0 | 1 | - | Unknown |
| Active Wealth Advisors CRD: 336793 | - | 0 | 1 | - | Unknown |
| Active Wealth Management LLC CRD: 314319 | - | 0 | 0 | - | Unknown |
| Active Yield Capital Management, LLC CRD: 316057 | - | 0 | 0 | - | Unknown |
| Activealpha Investment Advisors CRD: 338512 | - | 0 | 0 | - | Unknown |
| Activecap - Capital Partners, SCR, S.A. CRD: 340980 | - | 0 | 0 | - | Unknown |
| Activetrade, Inc. CRD: 109722 | - | 0 | 0 | A | INACTIVE |
| Activo Capital CRD: 332726 | - | 0 | 0 | - | Unknown |
| Activum SG Global Advisors LLC CRD: 311381 | - | 0 | 0 | - | Unknown |
| Acts Financial Advisors CRD: 325930 | - | 0 | 2 | - | Unknown |
| Actual CRD: 287868 | - | 0 | 0 | - | Unknown |
| Actualize Capital LLC CRD: 306446 | - | 0 | 1 | - | Unknown |
| Actuarial Direct LLC CRD: 287514 | - | 0 | 0 | - | Unknown |
| Actuarial Direct LLC CRD: 309970 | - | 0 | 1 | - | Unknown |
| Acuity Financial Advisors CRD: 145862 | - | 0 | 0 | - | Unknown |
| Acuity Global Management, LLC CRD: 335018 | - | 0 | 0 | - | Unknown |
| Acuity Wealth Management Advisors CRD: 231788 | - | 0 | 0 | - | Unknown |
| Acuity Wealth Management, LLC CRD: 168662 | - | 0 | 0 | - | Unknown |
| Acumain Capital, LLC CRD: 336530 | - | 0 | 1 | - | Unknown |
| Acumen CRD: 174380 | - | 0 | 0 | - | Unknown |