Broker-Dealer Firms
27,152 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 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| MMA Asset Management LLC CRD: 155426 | — | 0 | 6 | A | Unknown |
| MMA Securities LLC CRD: 44254 | NY | 3 | 88 | B | Active |
| Mmar Group, Inc. CRD: 25329 | — | 0 | 0 | A | INACTIVE |
| MMC Securities LLC CRD: 103846 | NY | 0 | 10 | A | Active |
| MMC Wealth Management Corp. CRD: 296104 | — | 0 | 0 | A | Unknown |
| MMF Capital Management LLC CRD: 161003 | — | 0 | 0 | A | Unknown |
| MMF Capital Management V LLC CRD: 165345 | — | 0 | 0 | A | Unknown |
| MMG Wealth Management CRD: 331312 | — | 0 | 2 | A | Unknown |
| MMI Investments LLC CRD: 140259 | — | 0 | 0 | A | Unknown |
| MML Investment Management CRD: 160670 | — | 0 | 0 | A | Unknown |
| MML UK Advisor LLP CRD: 324690 | — | 0 | 0 | A | Unknown |
| MMM Securities LLC CRD: 318021 | NY | 0 | 3 | A | Active |
| MMR, Inc. CRD: 16958 | — | 4 | 0 | C | INACTIVE |
| MMS Securities, Inc. CRD: 43120 | — | 2 | 0 | B | INACTIVE |
| MMV VC LLC CRD: 338590 | — | 0 | 1 | A | Unknown |
| MND Partners, Inc. CRD: 131833 | — | 0 | 0 | A | INACTIVE |
| MND Wealth Management CRD: 324313 | — | 0 | 0 | A | Unknown |
| MNM Vested, LLC CRD: 151350 | — | 0 | 1 | A | Unknown |
| MNR Executions, LLC CRD: 146313 | — | 13 | 0 | D | INACTIVE |
| Moat Capital CRD: 313152 | — | 0 | 2 | A | Unknown |
| Mobius Capital Management CRD: 313271 | — | 0 | 0 | A | Unknown |
| Mobius Capital Management, LLC CRD: 285663 | — | 0 | 0 | A | Unknown |
| Mobius Fund CRD: 328238 | — | 0 | 2 | A | Unknown |
| Mobjack Investments CRD: 134481 | — | 0 | 2 | A | Unknown |
| Modegg, LLC CRD: 327826 | — | 0 | 0 | A | Unknown |
| Model Capital Management LLC CRD: 166921 | — | 0 | 1 | A | Unknown |
| Model Wealth CRD: 299798 | — | 0 | 1 | A | Unknown |
| Modelist CRD: 327365 | — | 0 | 1 | A | Unknown |
| Modera Wealth Management, LLC CRD: 155649 | — | 0 | 109 | A | Unknown |
| Modern Advisory Planning CRD: 284761 | — | 0 | 0 | A | Unknown |
| Modern Asset Management LLC CRD: 128768 | — | 0 | 2 | A | Unknown |
| Modern Capital Management, Co. CRD: 306631 | — | 0 | 5 | A | Unknown |
| Modern Energy Management LLC CRD: 289775 | — | 0 | 0 | A | Unknown |
| Modern Financial CRD: 317409 | — | 0 | 1 | A | Unknown |
| Modern Millennial Wealth LLC CRD: 311608 | — | 0 | 0 | A | Unknown |
| Modern Money Advisor CRD: 292041 | — | 0 | 0 | A | Unknown |
| Modern Money Management LLC CRD: 311307 | — | 0 | 1 | A | Unknown |
| Modern Traders CRD: 314643 | — | 0 | 0 | A | Unknown |
| Modern Wealth LLC CRD: 300407 | — | 0 | 2 | A | Unknown |
| Modern Wealth LLC CRD: 331245 | — | 0 | 2 | A | Unknown |
| Modern Wealth Management, LLC CRD: 324624 | — | 0 | 100 | A | Unknown |
| Modernfi CRD: 322611 | — | 0 | 0 | A | Unknown |
| Modified Investments CRD: 324512 | — | 0 | 1 | A | Unknown |
| Modio Capital CRD: 166572 | — | 0 | 0 | A | Unknown |
| Modiri Asset Management CRD: 125746 | — | 0 | 0 | A | Unknown |
| Modl Investments, LLC CRD: 284119 | — | 0 | 0 | A | Unknown |
| Modulo Capital CRD: 174095 | — | 0 | 0 | A | Unknown |
| Modulus Capital Management, LP CRD: 282941 | — | 0 | 0 | A | Unknown |
| Modum Asset Management LLC CRD: 316200 | — | 0 | 0 | A | Unknown |
| Modus Vivendi LLC CRD: 323111 | — | 0 | 0 | A | Unknown |