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 |
|---|---|---|---|---|---|
| NBC Financial, Inc. CRD: 46087 | — | 0 | 0 | A | INACTIVE |
| NBC International (USA) Ltd. CRD: 25701 | — | 0 | 0 | A | INACTIVE |
| NBC Pardners CRD: 281707 | — | 0 | 1 | A | Unknown |
| NBC Securities, Inc. CRD: 17870 | AL | 6 | 43 | B | Active |
| NBD Securities, Inc. CRD: 17410 | — | 0 | 0 | A | INACTIVE |
| NBF Securities (USA) Corp. CRD: 25541 | — | 1 | 0 | B | INACTIVE |
| Nbgi Securities Inc. CRD: 104322 | — | 0 | 0 | A | INACTIVE |
| NBM Management, L.P. CRD: 172675 | — | 0 | 0 | A | Unknown |
| NBN Trading L.L.C. CRD: 44907 | — | 0 | 0 | A | INACTIVE |
| NBW Capital LLC CRD: 147306 | — | 0 | 1 | A | Unknown |
| NC Management GMBH CRD: 329933 | — | 0 | 0 | A | Unknown |
| NC Money Management, Inc. CRD: 118754 | — | 0 | 2 | A | Unknown |
| NC Securities, LLC CRD: 141074 | MD | 0 | 2 | A | Active |
| NCB Investments, Inc. CRD: 113523 | — | 1 | 0 | B | INACTIVE |
| NCB Securities, LLC CRD: 145896 | — | 0 | 0 | A | INACTIVE |
| NCD Management I, LLC CRD: 304687 | — | 0 | 1 | A | Unknown |
| NCE Securities, Inc. CRD: 10079 | — | 0 | 0 | A | INACTIVE |
| NCG Securities LLC CRD: 160481 | NJ | 1 | 2 | B | Active |
| NCGP LLC CRD: 322440 | — | 0 | 0 | A | Unknown |
| NCH Capital Inc. CRD: 157288 | — | 0 | 1 | A | Unknown |
| NCM Securities, Inc. CRD: 35186 | — | 0 | 0 | A | INACTIVE |
| NCMG LLC CRD: 317428 | NY | 0 | 2 | A | Active |
| NCNB SC Securities, Inc. CRD: 17347 | — | 0 | 0 | A | INACTIVE |
| NCP Northland Capital Partners (USA) Inc. CRD: 154234 | — | 0 | 0 | A | INACTIVE |
| NCS Arbitrage Inc. CRD: 7571 | — | 0 | 0 | A | INACTIVE |
| NCT Advisors CRD: 169184 | — | 0 | 2 | A | Unknown |
| NCT GP I, LLC CRD: 163695 | — | 0 | 0 | A | Unknown |
| NCT GP II, LLC CRD: 170439 | — | 0 | 0 | A | Unknown |
| NCT GP Opportunity LLC CRD: 330837 | — | 0 | 0 | A | Unknown |
| NCW Advisors, LLC CRD: 172431 | — | 0 | 1 | A | Unknown |
| ND Capital, Inc. CRD: 23311 | — | 1 | 0 | B | INACTIVE |
| NDB Zephyr Partners Limited CRD: 175018 | — | 0 | 0 | A | Unknown |
| NDD Fund Manager LLC CRD: 328679 | — | 0 | 1 | A | Unknown |
| Ndure Global LLC CRD: 327280 | — | 0 | 1 | A | Unknown |
| NDVR CRD: 310602 | — | 0 | 0 | A | Unknown |
| NDW Trading, L.L.C. CRD: 106675 | — | 0 | 0 | A | INACTIVE |
| NDX Trading, Inc. CRD: 39940 | — | 6 | 0 | D | INACTIVE |
| NEA Member Benefits CRD: 138196 | — | 0 | 1 | A | Unknown |
| Neaco Advisory, Inc. CRD: 123482 | — | 0 | 0 | A | Unknown |
| Neal & Neal Securities, Inc. CRD: 13392 | — | 0 | 0 | A | INACTIVE |
| Neal Advisors, LLC CRD: 148447 | — | 0 | 1 | A | Unknown |
| Neal Allen Pepper, PHD CRD: 107673 | — | 0 | 0 | A | Unknown |
| Neal, Thomas E CRD: 33870 | — | 0 | 0 | A | INACTIVE |
| Neale Financial, LLC CRD: 153787 | — | 0 | 1 | A | Unknown |
| Near Earth, LLC CRD: 126041 | CT | 0 | 2 | A | Active |
| Near North Financial CRD: 328123 | — | 0 | 0 | A | Unknown |
| Near North National Financial Services, Inc. CRD: 47608 | — | 0 | 0 | A | INACTIVE |
| Nearby Cactus CRD: 330260 | — | 0 | 0 | A | Unknown |
| Neary, Francis M CPA CRD: 124754 | — | 0 | 1 | A | Unknown |
| Nebari Partners, LLC CRD: 295859 | — | 0 | 1 | A | Unknown |