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 |
|---|---|---|---|---|---|
| Noorvest CRD: 325403 | — | 0 | 2 | A | Unknown |
| Nora Wealth CRD: 285098 | — | 0 | 1 | A | Unknown |
| Noram Securities, Inc. CRD: 16921 | — | 0 | 0 | A | INACTIVE |
| Noramerivest, Inc. CRD: 14910 | — | 0 | 0 | A | INACTIVE |
| Norbay Securities Inc. CRD: 5431 | — | 0 | 0 | A | INACTIVE |
| Norbury Partners LP CRD: 310042 | — | 0 | 0 | A | Unknown |
| Norcap Securities, Inc. CRD: 15200 | — | 0 | 0 | A | INACTIVE |
| Norcross & Company CRD: 28570 | — | 0 | 0 | A | INACTIVE |
| Nord Associates LLC CRD: 325126 | — | 0 | 1 | A | Unknown |
| Nordea Investment Management North America, Inc. CRD: 116837 | — | 0 | 1 | A | Unknown |
| Nordea Securities LLC CRD: 292574 | NY | 0 | 2 | A | Active |
| Nordea Securities, Inc. CRD: 38188 | — | 0 | 0 | A | INACTIVE |
| Nordic Capital CRD: 162424 | — | 0 | 0 | A | Unknown |
| Nordic Options, LLC CRD: 103946 | — | 1 | 0 | B | INACTIVE |
| Nordwand Advisors CRD: 322936 | — | 0 | 3 | A | Unknown |
| Norehad Investments, Inc. CRD: 17856 | — | 0 | 0 | A | INACTIVE |
| Norelli Advisory, LLC CRD: 170664 | — | 0 | 0 | A | Unknown |
| Norfield Capital, LLC CRD: 173456 | — | 0 | 1 | A | Unknown |
| Norfolk Markets, LLC CRD: 103797 | — | 0 | 0 | A | INACTIVE |
| Norgard Capital CRD: 311836 | — | 0 | 1 | A | Unknown |
| Noriba Investing CRD: 150981 | — | 0 | 0 | A | INACTIVE |
| Norland Capital LP CRD: 288562 | — | 0 | 1 | A | Unknown |
| Norlantic CRD: 333609 | — | 0 | 1 | A | Unknown |
| Norma Financial LLC CRD: 323740 | — | 0 | 2 | A | Unknown |
| Norman Lungsun YU D/B/a NLY Investment Advisor CRD: 150496 | — | 0 | 0 | A | Unknown |
| Norman W. Berger, Inc. CRD: 137606 | — | 0 | 0 | A | Unknown |
| Norman William, Inc. CRD: 10436 | — | 0 | 0 | A | INACTIVE |
| Noro-Moseley Partners CRD: 162877 | — | 0 | 0 | A | Unknown |
| Norris & Hirshberg, Inc. CRD: 2929 | — | 0 | 0 | A | INACTIVE |
| Norse Star Capital, LLC CRD: 323905 | — | 0 | 1 | A | Unknown |
| Norseman Advisory Group, Inc. CRD: 143691 | — | 0 | 1 | A | Unknown |
| North & Company, LLC CRD: 127661 | — | 0 | 0 | A | Unknown |
| North Branch Advisory CRD: 129849 | — | 0 | 0 | A | Unknown |
| North Capital CRD: 148802 | — | 0 | 5 | A | Unknown |
| North ELM Capital LP CRD: 183513 | — | 0 | 0 | A | Unknown |
| North Financial Inc CRD: 284561 | — | 0 | 1 | A | Unknown |
| North Fork Financial, LLC CRD: 316152 | — | 0 | 1 | A | Unknown |
| North Forty Management CRD: 160296 | — | 0 | 0 | A | Unknown |
| North Forty TWO & Co. CRD: 148417 | — | 0 | 2 | A | Unknown |
| North Ground Capital CRD: 325287 | — | 0 | 1 | A | Unknown |
| North Hampton Partners, L.P. CRD: 42226 | — | 2 | 0 | B | INACTIVE |
| North Hill Ventures CRD: 163098 | — | 0 | 1 | A | Unknown |
| North Nassau Advisors, LLC CRD: 143169 | — | 4 | 0 | C | INACTIVE |
| North Park Financial Planning CRD: 292644 | — | 0 | 0 | A | Unknown |
| North Point Advisors CRD: 131240 | — | 0 | 0 | A | Unknown |
| North Point Financial Planners CRD: 289180 | — | 0 | 0 | A | Unknown |
| North Ridge CRD: 157516 | — | 0 | 1 | A | Unknown |
| North River Group, LLC CRD: 298565 | — | 0 | 2 | A | Unknown |
| North RUN Capital, LP CRD: 157922 | — | 0 | 0 | A | Unknown |
| North SEA Securities L.P. CRD: 35530 | — | 2 | 0 | B | INACTIVE |