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 |
|---|---|---|---|---|---|
| Monroe Wealth Management LLC CRD: 300513 | — | 0 | 1 | A | Unknown |
| Mons Capital CRD: 313088 | — | 0 | 0 | A | Unknown |
| Mons Olympus LLC CRD: 333673 | — | 0 | 1 | A | Unknown |
| Monson Wealth Management LLC CRD: 337251 | — | 0 | 1 | A | Unknown |
| Monson Wealth Management, Inc. CRD: 169857 | — | 0 | 1 | A | Unknown |
| Mont CRD: 340142 | — | 0 | 2 | A | Unknown |
| Montag CRD: 105756 | — | 0 | 1 | A | Unknown |
| Montag & Joselson CRD: 5506 | — | 0 | 0 | A | INACTIVE |
| Montage Capital CRD: 164391 | — | 0 | 1 | A | Unknown |
| Montage Ventures CRD: 169560 | — | 0 | 1 | A | Unknown |
| Montagu US Advisors LLC CRD: 322469 | — | 0 | 0 | A | Unknown |
| Montare Investments I, Ltd. CRD: 310472 | — | 0 | 0 | A | Unknown |
| Monteith Wealth CRD: 308179 | — | 0 | 1 | A | Unknown |
| Monterey Asset Management CRD: 154015 | — | 0 | 0 | A | Unknown |
| Monterey Wealth CRD: 172577 | — | 0 | 2 | A | Unknown |
| Monterro Fund Management AB CRD: 325253 | — | 0 | 0 | A | Unknown |
| Montis Management CRD: 332940 | — | 0 | 2 | A | Unknown |
| Montoya Wealth Management CRD: 285039 | — | 0 | 1 | A | Unknown |
| Montrose Lane, LP CRD: 289504 | — | 0 | 1 | A | Unknown |
| Monty Asset Management CRD: 318650 | — | 0 | 1 | A | Unknown |
| Monument Group, Inc. CRD: 36399 | MA | 0 | 2 | A | Active |
| Monument Wealth Management CRD: 159882 | — | 0 | 5 | A | Unknown |
| Mony Capital Markets, Inc. CRD: 22091 | — | 0 | 0 | A | INACTIVE |
| Moody, LYNN & Lieberson, LLC CRD: 106000 | — | 0 | 0 | A | Unknown |
| Moody, LYNN, Lieberson & Walker, LLC CRD: 283549 | — | 0 | 2 | A | Unknown |
| Moolya Wealth Management LLC CRD: 313179 | — | 0 | 0 | A | Unknown |
| Moon Capital Management LP CRD: 156460 | — | 0 | 1 | A | Unknown |
| Moon Capital Management, LLC CRD: 107612 | — | 0 | 1 | A | Unknown |
| Moon Wake Wealth Management LLC CRD: 309990 | — | 0 | 0 | A | Unknown |
| Mooney Financial CRD: 332904 | — | 0 | 1 | A | Unknown |
| Mooney Wealth Advisory, Inc. CRD: 107121 | — | 0 | 0 | A | Unknown |
| Mooney's Securities, Inc. CRD: 16928 | — | 0 | 0 | A | INACTIVE |
| Moonfare CRD: 319285 | — | 0 | 0 | A | Unknown |
| Moonfare Securities USA CRD: 325838 | NY | 0 | 2 | A | Active |
| Moonvest CRD: 340069 | — | 0 | 1 | A | Unknown |
| Moonwalker Management LLC CRD: 329994 | — | 0 | 1 | A | Unknown |
| Moor Funds CRD: 316146 | — | 0 | 1 | A | Unknown |
| Moore Capital Management, LP CRD: 160188 | — | 0 | 1 | A | Unknown |
| Moore Modern Planning Company CRD: 5668 | — | 0 | 0 | A | INACTIVE |
| Moore Money Advisory CRD: 283542 | — | 0 | 1 | A | Unknown |
| Moore Money Solutions CRD: 335507 | — | 0 | 1 | A | Unknown |
| Moore Wealth CRD: 323374 | — | 0 | 1 | A | Unknown |
| Moore Wealth Management L.L.C. CRD: 143378 | — | 0 | 0 | A | Unknown |
| Moore, Dorothea Jane CRD: 122248 | — | 0 | 2 | A | Unknown |
| Moore, Ronald Keith CRD: 134964 | — | 0 | 1 | A | Unknown |
| Moorgate Capital Management CRD: 338949 | — | 0 | 2 | A | Unknown |
| Moorgate Investments, Inc. CRD: 17646 | — | 0 | 0 | A | INACTIVE |
| Moorhouse, W. Keith CRD: 123372 | — | 0 | 0 | A | Unknown |
| Moorings Asset Management CRD: 318372 | — | 0 | 0 | A | Unknown |
| Moors & Cabot, Inc. CRD: 594 | MA | 34 | 38 | B | Active |