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 |
|---|---|---|---|---|---|
| Nebrodi Partners, LLC CRD: 174280 | — | 0 | 1 | A | Unknown |
| Nebular Management, LLC CRD: 325162 | — | 0 | 1 | A | Unknown |
| Nectarine CRD: 327155 | — | 0 | 33 | A | Unknown |
| NED Davis Research, Inc. CRD: 112260 | — | 0 | 6 | A | Unknown |
| Needham & Company, LLC CRD: 16360 | NY | 27 | 11 | C | Active |
| Neev Finance CRD: 338066 | — | 0 | 1 | A | Unknown |
| Nefpg CRD: 105254 | — | 0 | 2 | A | Unknown |
| Negron-Ramos LLC CRD: 317171 | — | 0 | 0 | A | Unknown |
| Negron-Ramos LLC CRD: 332437 | — | 0 | 1 | A | Unknown |
| Neil E. Burns, LLC CRD: 283180 | — | 0 | 1 | A | Unknown |
| NEK Financial Inc CRD: 325331 | — | 0 | 1 | A | Unknown |
| Nektar Asset Management AB CRD: 285509 | — | 0 | 0 | A | Unknown |
| Nelnet Capital LLC CRD: 104050 | — | 0 | 0 | A | INACTIVE |
| Nelson Securities,Inc. CRD: 14377 | WA | 1 | 6 | B | Active |
| Nelsonreid, Inc. CRD: 45503 | — | 4 | 0 | C | INACTIVE |
| Neman Ventures LLC CRD: 330770 | — | 0 | 1 | A | Unknown |
| Nemcik & Co. Ltd. CRD: 34333 | — | 0 | 0 | A | INACTIVE |
| Nemetz Capital Corp. CRD: 10961 | — | 0 | 0 | A | INACTIVE |
| Nemo Capital CRD: 301309 | — | 0 | 1 | A | Unknown |
| NEO Capital Group LLC CRD: 145170 | — | 0 | 0 | A | Unknown |
| NEO IVY Capital Management, LLC CRD: 284999 | — | 0 | 1 | A | Unknown |
| NEO Ventures, LLC CRD: 294621 | — | 0 | 1 | A | Unknown |
| Neocap, LLC CRD: 287684 | — | 0 | 0 | A | Unknown |
| Neocarta Ventures, Inc. CRD: 161856 | — | 0 | 0 | A | Unknown |
| Neoka Securities, Inc. CRD: 17669 | — | 0 | 0 | A | INACTIVE |
| Neokai Capital CRD: 319006 | — | 0 | 1 | A | Unknown |
| Neon Money IA, LLC CRD: 327699 | — | 0 | 0 | A | Unknown |
| Neonet Securities, Inc. CRD: 46938 | — | 5 | 0 | C | INACTIVE |
| Neorithmic, LLC CRD: 316718 | — | 0 | 1 | A | Unknown |
| Neos Investments CRD: 321256 | — | 0 | 1 | A | Unknown |
| Neos Partners, LP CRD: 323847 | — | 0 | 1 | A | Unknown |
| Neosho Advisors LLC CRD: 149869 | — | 0 | 0 | A | Unknown |
| Neosho Capital LLC CRD: 130779 | — | 0 | 0 | A | Unknown |
| Neosynthesis GP LLC CRD: 328335 | — | 0 | 1 | A | Unknown |
| Neoteny Management, LLC CRD: 298066 | — | 0 | 1 | A | Unknown |
| Neovest Trading CRD: 39798 | — | 4 | 0 | C | INACTIVE |
| Nepc, Inc. CRD: 19590 | — | 0 | 0 | A | INACTIVE |
| Nepc, LLC CRD: 110562 | — | 0 | 2 | A | Unknown |
| Nephila Advisors LLC CRD: 156905 | — | 0 | 1 | A | Unknown |
| Nephila Capital Ltd. CRD: 132780 | — | 0 | 0 | A | Unknown |
| Nepsis, Inc. CRD: 141203 | — | 0 | 8 | A | Unknown |
| Neptune LLC CRD: 104389 | — | 0 | 0 | A | INACTIVE |
| Neptune Wealth CRD: 329160 | — | 0 | 5 | A | Unknown |
| Neptune, LLC CRD: 35342 | — | 0 | 0 | A | INACTIVE |
| Nera Investments LLC CRD: 319304 | — | 0 | 1 | A | Unknown |
| Nerat Capital, LLC CRD: 298218 | — | 0 | 1 | A | Unknown |
| Nerdwallet Advisory CRD: 325767 | — | 0 | 2 | A | Unknown |
| Nerdwallet Advisory, LLC CRD: 281485 | — | 0 | 0 | A | Unknown |
| Nerium Capital LLC CRD: 313048 | — | 0 | 1 | A | Unknown |
| Nerv Management LLC CRD: 172097 | — | 0 | 0 | A | Unknown |