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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| APERTURE FINANCIAL CRD: 329481 | — | 0 | 0 | A | Unknown |
| APERTURE FINANCIAL CRD: 308771 | — | 0 | 0 | A | Unknown |
| APEX ADVISORY GROUP, INC. CRD: 117183 | — | 0 | 0 | A | Unknown |
| APEX ADVISORY SERVICES, INC. CRD: 120503 | — | 0 | 0 | A | Unknown |
| APEX CAPITAL MANAGEMENT (NEW YORK) LLC CRD: 150682 | — | 0 | 0 | A | Unknown |
| APEX CAPITAL, L.L.C. CRD: 40803 | — | 0 | 0 | A | INACTIVE |
| APEX CLEARING CORPORATION CRD: 13071 | TX | 57 | 1 | F | Active |
| APEX FINANCIAL SERVICES, LLC CRD: 152931 | — | 0 | 0 | A | Unknown |
| APEX INVESTMENT ADVISORS CRD: 130326 | — | 0 | 0 | A | Unknown |
| APEX INVESTMENT GROUP CRD: 44313 | — | 0 | 0 | A | INACTIVE |
| APEX INVESTMENT GROUP CRD: 333593 | — | 0 | 0 | A | Unknown |
| APEX QUANTITATIVE GROUP, LLC CRD: 333956 | — | 0 | 0 | A | Unknown |
| APEX WEALTH ADVISORS LLC CRD: 316564 | — | 0 | 0 | A | Unknown |
| APEXEDGE LLC CRD: 339077 | — | 0 | 0 | A | Unknown |
| APEXES MANAGEMENT LTD CRD: 338468 | — | 0 | 0 | A | Unknown |
| APFORIA CRD: 327176 | — | 0 | 0 | A | Unknown |
| APG ASSET MANAGEMENT US, INC CRD: 160795 | — | 0 | 0 | A | Unknown |
| APH GP LP CRD: 281920 | — | 0 | 0 | A | Unknown |
| APH I GP LP CRD: 330162 | — | 0 | 0 | A | Unknown |
| APH II CORPORATION CRD: 300535 | — | 0 | 0 | A | Unknown |
| APH III GP LP CRD: 325842 | — | 0 | 0 | A | Unknown |
| API CAPITAL, LLC CRD: 334427 | — | 0 | 0 | A | Unknown |
| APIA WEALTH MANAGEMENT CRD: 157562 | — | 0 | 0 | A | Unknown |
| APIS CAPITAL ADVISORS, LLC CRD: 131200 | — | 0 | 0 | A | Unknown |
| APIS PARTNERS LLP CRD: 298869 | — | 0 | 0 | A | Unknown |
| APIS WEALTH, LLC CRD: 305606 | — | 0 | 0 | A | Unknown |
| APJL PARTNERSHIP CRD: 104270 | — | 0 | 0 | A | INACTIVE |
| APL GP LLC CRD: 331505 | — | 0 | 0 | A | Unknown |
| APLOMADO ADVISORS, LLC CRD: 312503 | — | 0 | 0 | A | Unknown |
| APM WEALTH CRD: 289340 | — | 0 | 0 | A | Unknown |
| APOGEE ADVISORS LLC CRD: 174236 | — | 0 | 0 | A | Unknown |
| APOGEE ADVISORS LLC CRD: 286680 | — | 0 | 0 | A | Unknown |
| APOGEM CAPITAL LLC CRD: 309234 | — | 0 | 0 | A | Unknown |
| APOLLO CAPITAL MANAGEMENT, L.P. CRD: 143161 | — | 0 | 0 | A | Unknown |
| APOLLO MANAGEMENT, L.P. CRD: 143158 | — | 0 | 0 | A | Unknown |
| APOLLO MPS MANAGEMENT, LLC CRD: 338148 | — | 0 | 0 | A | Unknown |
| APOLLO PARTNERS, L.P. CRD: 34767 | — | 6 | 0 | F | INACTIVE |
| APOLLON WEALTH MANAGEMENT, LLC CRD: 291902 | — | 0 | 0 | A | Unknown |
| APP CRD: 324537 | — | 0 | 0 | A | Unknown |
| APPI INC. CRD: 299573 | — | 0 | 0 | A | Unknown |
| APPIAN CAPITAL ADVISORY LLP CRD: 169511 | — | 0 | 0 | A | Unknown |
| APPIAN ROAD LLC CRD: 167709 | — | 0 | 0 | A | Unknown |
| APPLE & ASSOCIATES CRD: 126849 | — | 0 | 0 | A | Unknown |
| APPLE LANE GROUP LLC CRD: 129331 | — | 0 | 0 | A | INACTIVE |
| APPLEBROOK ADVISORS LLC CRD: 157783 | — | 0 | 0 | A | Unknown |
| APPLEBY ADVISORY LLC CRD: 281415 | — | 0 | 0 | A | Unknown |
| APPLETON HOUSE ADVISORS CRD: 163807 | — | 0 | 0 | A | Unknown |
| APPLIED ADVISOR CRD: 126725 | — | 0 | 0 | A | Unknown |
| APPLIED QUANTITATIVE INVESTMENTS LLC CRD: 339159 | — | 0 | 0 | A | Unknown |
| APPLIED QUANTITATIVE SOLUTIONS, L.L.C. CRD: 34238 | — | 0 | 0 | A | INACTIVE |