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 |
|---|---|---|---|---|---|
| Acumen Associates LLC CRD: 314041 | - | 0 | 1 | - | Unknown |
| Acumen Associates, LLC CRD: 285873 | - | 0 | 0 | - | Unknown |
| Acumen Financial Advisors, LLC CRD: 152748 | - | 0 | 1 | - | Unknown |
| Acumen Wealth Advisors, LLC CRD: 282565 | - | 0 | 1 | - | Unknown |
| Acumen Wealth Management CRD: 299604 | - | 0 | 0 | - | Unknown |
| Acumen Wealth Management LLC CRD: 288907 | - | 0 | 0 | - | Unknown |
| Acument Securities, Inc. CRD: 7661 | - | 28 | 0 | F | INACTIVE |
| Acuta Capital Partners, LLC CRD: 158869 | - | 0 | 0 | - | Unknown |
| Acuta Venture Management, LLC CRD: 308807 | - | 0 | 0 | - | Unknown |
| Acute Investment Advisory CRD: 170368 | - | 0 | 2 | - | Unknown |
| ACV Capital PTE. Ltd. CRD: 322804 | - | 0 | 0 | - | Unknown |
| Acvc Management, LLC CRD: 309667 | - | 0 | 1 | - | Unknown |
| AD Astra Financial Planning CRD: 322570 | - | 0 | 0 | - | Unknown |
| AD Deum Funds, LLC CRD: 293323 | - | 0 | 1 | - | Unknown |
| AD Lunam LLC CRD: 317541 | - | 0 | 0 | - | Unknown |
| AD Quatenus Management Group LLC CRD: 309340 | - | 0 | 1 | - | Unknown |
| ADA Advisors LLC CRD: 162606 | - | 0 | 0 | - | Unknown |
| Adage Investment Advisors, L.L.C. CRD: 169477 | - | 0 | 1 | - | Unknown |
| Adagio Capital Advisors, Inc CRD: 153308 | - | 0 | 0 | - | Unknown |
| Adair Financial Private Client Group CRD: 306300 | - | 0 | 2 | - | Unknown |
| Adair Personal Financial Planning, Inc. CRD: 112165 | - | 0 | 0 | - | Unknown |
| Adair Wealth Management CRD: 285147 | - | 0 | 2 | - | Unknown |
| Adair, Brian Lloyd CRD: 105928 | - | 2 | 0 | B | INACTIVE |
| Adalta Capital Management LLC CRD: 283771 | - | 0 | 1 | - | Unknown |
| Adam Capital CRD: 291709 | - | 0 | 1 | - | Unknown |
| Adam Doty Company CRD: 315125 | - | 0 | 2 | - | Unknown |
| Adam E. Gilbert CRD: 2001 | - | 0 | 0 | A | INACTIVE |
| Adam Financial Associates Inc CRD: 109315 | - | 0 | 0 | - | Unknown |
| Adam M Rich LLC CRD: 46890 | - | 0 | 0 | A | INACTIVE |
| Adam Meatro Shoun CRD: 306059 | - | 0 | 0 | - | Unknown |
| Adam Smith & Company, Inc. CRD: 31231 | - | 1 | 0 | B | INACTIVE |
| Adamant Capital, LP CRD: 300509 | - | 0 | 0 | - | Unknown |
| Adamant Stone Limited CRD: 333084 | - | 0 | 0 | - | Unknown |
| Adamas Partners, LLC CRD: 156665 | - | 0 | 0 | - | Unknown |
| Adamec Financial Group, Inc. CRD: 112529 | - | 0 | 2 | - | Unknown |
| Adamo Investment Properties, Inc. CRD: 13125 | - | 0 | 0 | A | INACTIVE |
| Adams & Co. CRD: 26348 | - | 0 | 0 | A | INACTIVE |
| Adams & Davis Incorporated CRD: 14775 | - | 0 | 0 | A | INACTIVE |
| Adams Advisory Services, LLC CRD: 341683 | - | 0 | 1 | - | Unknown |
| Adams and Co Financial Services CRD: 340842 | - | 0 | 1 | - | Unknown |
| Adams Ashby Financial Advisors CRD: 149683 | - | 0 | 3 | - | Unknown |
| Adams Asset Advisors LLC CRD: 120573 | - | 0 | 3 | - | Unknown |
| Adams Chetwood Wealth Management LLC CRD: 174978 | - | 0 | 0 | - | Unknown |
| Adams Commercial Investment Securities, Inc. CRD: 15771 | - | 0 | 0 | A | INACTIVE |
| Adams Diversified Equity Fund, Inc. CRD: 281263 | - | 0 | 1 | - | Unknown |
| Adams Financial Concepts, LLC CRD: 134545 | - | 0 | 2 | - | Unknown |
| Adams Financial Consulting CRD: 113388 | - | 0 | 0 | - | Unknown |
| Adams Funds Advisers CRD: 226613 | - | 0 | 1 | - | Unknown |
| Adams Securities, Inc. CRD: 16688 | - | 0 | 0 | A | INACTIVE |
| Adams Street Advisors, LLC CRD: 333783 | - | 0 | 1 | - | Unknown |