Broker-Dealer Firms
80,028 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 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
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 |
|---|---|---|---|---|---|
| Companyon Ventures CRD: 307354 | - | 0 | 1 | - | Unknown |
| Compass CRD: 158280 | - | 0 | 1 | - | Unknown |
| Compass Advisors CRD: 288256 | - | 0 | 2 | - | Unknown |
| Compass Advisors LLC CRD: 126400 | - | 0 | 1 | - | Unknown |
| Compass Advisory Partners LLC CRD: 119377 | - | 0 | 2 | - | Unknown |
| Compass Analytics, LLC CRD: 130459 | - | 0 | 0 | - | Unknown |
| Compass Capital Corporation CRD: 14379 | - | 0 | 0 | A | INACTIVE |
| Compass Capital Corporation CRD: 112323 | - | 0 | 9 | - | Unknown |
| Compass Capital Investments LLC CRD: 291911 | - | 0 | 1 | - | Unknown |
| Compass Capital Management CRD: 118649 | - | 0 | 0 | - | Unknown |
| Compass Capital Management Inc CRD: 107823 | - | 0 | 3 | - | Unknown |
| Compass Capital Management, LLC CRD: 166851 | - | 0 | 0 | - | Unknown |
| Compass Capital Management, LLC CRD: 150170 | - | 0 | 1 | - | Unknown |
| Compass Coaching and Consulting, LLC CRD: 327213 | - | 0 | 2 | - | Unknown |
| Compass Distributors, LLC CRD: 172662 | - | 0 | 0 | A | INACTIVE |
| Compass Equity Advisors LLC CRD: 165736 | - | 0 | 0 | - | Unknown |
| Compass Execution Services, LLC CRD: 125080 | - | 0 | 0 | A | INACTIVE |
| Compass Financial Advisors LLC CRD: 109131 | - | 0 | 6 | - | Unknown |
| Compass Financial Consulting, LLC CRD: 119100 | - | 0 | 0 | - | Unknown |
| Compass Financial Group CRD: 121951 | - | 0 | 0 | - | Unknown |
| Compass Financial Group CRD: 301251 | - | 0 | 0 | - | Unknown |
| Compass Financial Group CRD: 328412 | - | 0 | 3 | - | Unknown |
| Compass Financial Group, Inc CRD: 157109 | - | 0 | 1 | - | Unknown |
| Compass Financial Group, Inc. CRD: 130867 | - | 0 | 2 | - | Unknown |
| Compass Financial Group, Inc. CRD: 125186 | - | 0 | 3 | - | Unknown |
| Compass Financial Management LLC CRD: 156345 | - | 0 | 40 | - | Unknown |
| Compass Financial Planning CRD: 153745 | - | 0 | 0 | - | Unknown |
| Compass Financial Services CRD: 109441 | - | 0 | 6 | - | Unknown |
| Compass Financial USA, Inc. CRD: 134487 | - | 0 | 0 | - | Unknown |
| Compass Financial, LLC CRD: 152558 | - | 0 | 2 | - | Unknown |
| Compass Group Equity Partners CRD: 317244 | - | 0 | 1 | - | Unknown |
| Compass Group LLC CRD: 108772 | - | 0 | 1 | - | Unknown |
| Compass Group Management LLC CRD: 168422 | - | 0 | 1 | - | Unknown |
| Compass Investments & Advising, LLC CRD: 149973 | - | 0 | 0 | - | Unknown |
| Compass Investments Corporation CRD: 25565 | - | 0 | 0 | A | INACTIVE |
| Compass Lighthouse Capital, LLC CRD: 306612 | - | 0 | 0 | - | Unknown |
| Compass Lighthouse Capital, LLC CRD: 312634 | - | 0 | 1 | - | Unknown |
| Compass Partners International II LLP CRD: 282386 | - | 0 | 0 | - | Unknown |
| Compass Partners International Jersey L.P. CRD: 282337 | - | 0 | 0 | - | Unknown |
| Compass Planning Associates, Inc. CRD: 128014 | - | 0 | 3 | - | Unknown |
| Compass Planning, LLC CRD: 338524 | - | 0 | 1 | - | Unknown |
| Compass Point Research & Trading, LLC CRD: 126258 | DC | 0 | 4 | A | Active |
| Compass Point Retirement Planning, Inc. CRD: 116789 | - | 0 | 0 | - | Unknown |
| Compass Portfolios LLC CRD: 153072 | - | 0 | 0 | - | Unknown |
| Compass Private Wealth Consulting, LLC CRD: 147934 | - | 0 | 1 | - | Unknown |
| Compass Private Wealth Group LLC CRD: 316785 | - | 0 | 1 | - | Unknown |
| Compass Professional Services East, LLC CRD: 141724 | - | 0 | 0 | A | INACTIVE |
| Compass Retirement Group LLC CRD: 282420 | - | 0 | 3 | - | Unknown |
| Compass Retirement, LLC CRD: 158412 | - | 0 | 1 | - | Unknown |
| Compass Rose Advisors, Inc. CRD: 135954 | - | 0 | 2 | - | Unknown |