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 |
|---|---|---|---|---|---|
| North SKY Capital, LLC CRD: 133959 | — | 0 | 1 | A | Unknown |
| North South VC, LLC CRD: 336273 | — | 0 | 0 | A | Unknown |
| North Star Securities, Inc. CRD: 10460 | — | 0 | 0 | A | INACTIVE |
| North Tide Capital, LLC CRD: 157585 | — | 0 | 0 | A | Unknown |
| North Tide Capital, LP CRD: 300502 | — | 0 | 0 | A | Unknown |
| North Woods Wealth Management CRD: 226575 | — | 0 | 1 | A | Unknown |
| Northavenue LLC CRD: 297300 | — | 0 | 2 | A | Unknown |
| Northbay Advisors CRD: 129214 | — | 0 | 2 | A | Unknown |
| Northbound Wealth CRD: 311107 | — | 0 | 1 | A | Unknown |
| Northbrook Financial CRD: 309060 | — | 0 | 3 | A | Unknown |
| Northcape Capital CRD: 332305 | — | 0 | 0 | A | Unknown |
| Northeast Advisers, Inc. CRD: 108835 | — | 0 | 3 | A | Unknown |
| Northeast Financial CRD: 110361 | — | 0 | 0 | A | Unknown |
| Northeastern University CRD: 327435 | — | 0 | 1 | A | Unknown |
| Northedge Capital LLP CRD: 173768 | — | 0 | 0 | A | Unknown |
| Northern Access LLC CRD: 127424 | — | 0 | 0 | A | INACTIVE |
| Northern Borealis LLC CRD: 340911 | — | 0 | 0 | A | Unknown |
| Northern Cross, LLC CRD: 128223 | — | 0 | 0 | A | Unknown |
| Northern NEW England Investment Advisers LLC CRD: 293996 | — | 0 | 0 | A | Unknown |
| Northern Pacific Group, L.P. CRD: 299012 | — | 0 | 1 | A | Unknown |
| Northfork Advisors CRD: 159781 | — | 0 | 3 | A | Unknown |
| Northgate Advisors CRD: 169359 | — | 0 | 0 | A | Unknown |
| Northgate Capital, L.P. CRD: 140214 | — | 0 | 1 | A | Unknown |
| Northill Aims, LLC CRD: 339338 | — | 0 | 3 | A | Unknown |
| Northill Securities Corp. CRD: 13490 | — | 0 | 0 | A | INACTIVE |
| Northlight Group LLP CRD: 283883 | — | 0 | 0 | A | Unknown |
| Northome Trading L.P. CRD: 34773 | — | 0 | 0 | A | INACTIVE |
| Northpoint Advisory LLC CRD: 147362 | — | 0 | 1 | A | Unknown |
| Northpoint Financial CRD: 124711 | — | 0 | 1 | A | Unknown |
| Northrim Adviser, LLC CRD: 306796 | — | 0 | 1 | A | Unknown |
| Northsands Capital CRD: 331698 | — | 0 | 1 | A | Unknown |
| Northside Group Wealth Management, LLC CRD: 148608 | — | 0 | 2 | A | Unknown |
| Northstar Capital, LLC CRD: 283448 | — | 0 | 0 | A | Unknown |
| Northstar Capital, LLC CRD: 158003 | — | 0 | 1 | A | Unknown |
| Northstar Financial Corp CRD: 22901 | — | 0 | 0 | A | INACTIVE |
| Northstar, Northstar Asset Management Group CRD: 167232 | — | 0 | 0 | A | Unknown |
| Northwall Capital LLP CRD: 298653 | — | 0 | 0 | A | Unknown |
| Northwater Capital CRD: 338732 | — | 0 | 1 | A | Unknown |
| Northwest Advisory Inc CRD: 108786 | — | 0 | 1 | A | Unknown |
| Northwest Financial Investors Network, Inc. CRD: 18435 | — | 0 | 0 | A | INACTIVE |
| Northwest Income Investments, Inc CRD: 116119 | — | 0 | 1 | A | Unknown |
| Northwest Quadrant Wealth Management CRD: 158455 | — | 0 | 1 | A | Unknown |
| Northzone Management X Limited CRD: 327695 | — | 0 | 0 | A | Unknown |
| Nortlov Advisory, LLC CRD: 325025 | — | 0 | 2 | A | Unknown |
| Norton & Co. CRD: 14692 | — | 0 | 0 | A | INACTIVE |
| Norvestor Advisory as CRD: 167036 | — | 0 | 0 | A | Unknown |
| Norwich Ventures CRD: 161722 | — | 0 | 0 | A | Unknown |
| Norwich Ventures CRD: 170981 | — | 0 | 1 | A | Unknown |
| Norwood Economics, Inc. CRD: 282079 | — | 0 | 2 | A | Unknown |
| Norwood Securities CRD: 7523 | — | 2 | 0 | B | INACTIVE |