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 |
|---|---|---|---|---|---|
| MOE Investment Management, LLC CRD: 116082 | — | 0 | 0 | A | Unknown |
| MOF II Management LLC CRD: 322225 | — | 0 | 0 | A | Unknown |
| MOF III Management LLC CRD: 322227 | — | 0 | 0 | A | Unknown |
| Moffat, John Donald CRD: 34410 | — | 5 | 0 | C | INACTIVE |
| MOG Capital L.L.C. CRD: 136805 | — | 3 | 0 | C | INACTIVE |
| Mogo Management LLC CRD: 173092 | — | 0 | 0 | A | Unknown |
| Mogul Wealth Management, Inc. CRD: 144711 | — | 0 | 1 | A | Unknown |
| Mohlman Asset Management, LLC CRD: 148322 | — | 0 | 0 | A | Unknown |
| Mohon Capital Management CRD: 122878 | — | 0 | 0 | A | Unknown |
| Moirai Wealth Management LLC CRD: 109675 | — | 0 | 0 | A | Unknown |
| Mojave Capital Management, LLC CRD: 164072 | — | 0 | 0 | A | Unknown |
| Mojo Ventures, LLC CRD: 339992 | — | 0 | 1 | A | Unknown |
| MOK Capital Management CRD: 110182 | — | 0 | 2 | A | Unknown |
| Mokan Wealth Management CRD: 328005 | — | 0 | 1 | A | Unknown |
| Mokosak Advisory Group, LLC CRD: 287538 | — | 0 | 1 | A | Unknown |
| Molano Wealth Management CRD: 323967 | — | 0 | 2 | A | Unknown |
| Molei Financial CRD: 306515 | — | 0 | 0 | A | Unknown |
| Moler Capital Management CRD: 106969 | — | 0 | 2 | A | Unknown |
| Molina Wealth Management CRD: 327270 | — | 0 | 0 | A | Unknown |
| Molitor Money Management Inc. CRD: 38486 | — | 0 | 0 | A | INACTIVE |
| Mollot & Hardy, Inc. CRD: 128377 | — | 0 | 1 | A | Unknown |
| Mollyco L.L.C. CRD: 38284 | — | 0 | 0 | A | INACTIVE |
| Molokai Investments CRD: 334042 | — | 0 | 2 | A | Unknown |
| Molumphy Capital Management CRD: 105613 | — | 0 | 0 | A | Unknown |
| MOM and DAD Money CRD: 167781 | — | 0 | 0 | A | Unknown |
| Mombak CRD: 331061 | — | 0 | 0 | A | Unknown |
| Moment Markets, LLC CRD: 325062 | NY | 0 | 2 | A | Active |
| Moment Partners, LLC CRD: 332691 | — | 0 | 1 | A | Unknown |
| Momentum Capital Management CRD: 115594 | — | 0 | 0 | A | Unknown |
| Momentum Capital Management CRD: 339546 | — | 0 | 1 | A | Unknown |
| Momentum Capital Markets, LLC CRD: 300288 | — | 0 | 0 | A | INACTIVE |
| Momentum Financial Corp. CRD: 21910 | — | 0 | 0 | A | INACTIVE |
| Momentum Wealth Management CRD: 333902 | — | 0 | 2 | A | Unknown |
| Momentum Wealth Management CRD: 295689 | — | 0 | 1 | A | Unknown |
| MON Capital Management LLC CRD: 333785 | — | 0 | 1 | A | Unknown |
| MON-WAC Dealers,Inc. CRD: 14678 | — | 0 | 0 | A | INACTIVE |
| Mona Moore & Associates CRD: 111754 | — | 0 | 0 | A | Unknown |
| Monaco Capital Management, LLC CRD: 130174 | — | 0 | 0 | A | Unknown |
| Monaco Securities, Inc. CRD: 15719 | — | 0 | 0 | A | INACTIVE |
| Monaco Wealth Management LLC CRD: 146593 | — | 0 | 0 | A | Unknown |
| Monaco Wealth Management, LLC CRD: 142675 | — | 0 | 0 | A | Unknown |
| Monad Capital Management LLC CRD: 297120 | — | 0 | 0 | A | Unknown |
| Monad Capital Management LLC CRD: 335331 | — | 0 | 1 | A | Unknown |
| Monarch CRD: 159465 | — | 0 | 1 | A | Unknown |
| Monarch Advisory Group CRD: 289057 | — | 0 | 0 | A | Unknown |
| Monarch Advisory, LLC CRD: 288154 | — | 0 | 0 | A | Unknown |
| Monarch Asset Management LLC CRD: 166444 | — | 0 | 1 | A | Unknown |
| Monarch Funding Corp. CRD: 2808 | — | 0 | 0 | A | INACTIVE |
| Monarch Investments Inc. CRD: 18208 | — | 0 | 0 | A | INACTIVE |
| Monarch Trading, L.L.C. CRD: 119245 | — | 0 | 0 | A | INACTIVE |