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 |
|---|---|---|---|---|---|
| Nose to Wind LLC CRD: 312219 | — | 0 | 1 | A | Unknown |
| Nosuris, Inc. CRD: 160979 | — | 0 | 1 | A | Unknown |
| NOT a Venture Fund CRD: 318836 | — | 0 | 1 | A | Unknown |
| NOT Boring Capital, LLC CRD: 315644 | — | 0 | 1 | A | Unknown |
| NOT YET Ventures, LLC CRD: 328487 | — | 0 | 1 | A | Unknown |
| Notaro Wealth Advisory CRD: 141275 | — | 0 | 0 | A | Unknown |
| Note Advisors, LLC CRD: 171466 | — | 0 | 2 | A | Unknown |
| Notion Capital CRD: 164583 | — | 0 | 0 | A | Unknown |
| Notion Capital CRD: 301084 | — | 0 | 0 | A | Unknown |
| Noto Capital CRD: 121066 | — | 0 | 2 | A | Unknown |
| Nottoway LLC CRD: 144050 | — | 0 | 0 | A | INACTIVE |
| Notz, Stucki Europe S.A. CRD: 298255 | — | 0 | 0 | A | Unknown |
| Nova Distributors, Inc. CRD: 13020 | — | 0 | 0 | A | INACTIVE |
| Nova Financial Services CRD: 150148 | — | 0 | 5 | A | Unknown |
| Nova Financial, Inc. CRD: 29592 | — | 0 | 0 | A | INACTIVE |
| Nova Fund L.P. CRD: 35302 | — | 1 | 0 | B | INACTIVE |
| Nova R Wealth, Inc. CRD: 169574 | — | 0 | 1 | A | Unknown |
| Nova Securities, Inc. CRD: 17894 | — | 0 | 0 | A | INACTIVE |
| Novacap Management US Inc. CRD: 327243 | — | 0 | 0 | A | Unknown |
| Novalink Capital LLC CRD: 308195 | — | 0 | 0 | A | Unknown |
| Novalpina Capital LLP CRD: 291550 | — | 0 | 0 | A | Unknown |
| Novapoint Capital LLC CRD: 173663 | — | 0 | 2 | A | Unknown |
| Novawave Capital CRD: 333205 | — | 0 | 1 | A | Unknown |
| Nove Ventures, LLC CRD: 296777 | — | 0 | 1 | A | Unknown |
| Novellus Services, LLC CRD: 336681 | NJ | 0 | 2 | A | Active |
| Novem Group CRD: 158964 | — | 0 | 18 | A | Unknown |
| November India Co, LLC CRD: 337840 | — | 0 | 1 | A | Unknown |
| Novera Ventures, LLC CRD: 339206 | — | 0 | 1 | A | Unknown |
| Novi Wealth Partners CRD: 166539 | — | 0 | 1 | A | Unknown |
| Novice Capital LLC CRD: 330179 | — | 0 | 1 | A | Unknown |
| Novick & Co., Inc. CRD: 127884 | — | 0 | 0 | A | Unknown |
| Novirian Capital LLC CRD: 171247 | — | 0 | 1 | A | Unknown |
| Novodyn Advisors LLC CRD: 156451 | — | 0 | 1 | A | Unknown |
| Novus Advisors CRD: 157908 | — | 0 | 2 | A | Unknown |
| Novus Securities Corp. CRD: 38243 | — | 0 | 0 | A | INACTIVE |
| Novus Ventures CRD: 163065 | — | 0 | 0 | A | Unknown |
| Novus Wealth Advisors CRD: 164547 | — | 0 | 0 | A | Unknown |
| NOW I Have a Plan CRD: 315297 | — | 0 | 0 | A | Unknown |
| Nowtrade, Corp. CRD: 47596 | — | 1 | 0 | B | INACTIVE |
| Noxon Investors Corp. CRD: 7220 | — | 0 | 0 | A | INACTIVE |
| Noyack Creek Capital CRD: 285586 | — | 0 | 0 | A | Unknown |
| NPC Securities, Inc. CRD: 10121 | — | 1 | 0 | B | INACTIVE |
| NPLP Management CRD: 335167 | — | 0 | 1 | A | Unknown |
| NPM Consulting, LLC CRD: 163237 | — | 0 | 1 | A | Unknown |
| NPM Securities, LLC CRD: 168469 | NY | 0 | 2 | A | Active |
| NPPG Plan Professionals, LLC CRD: 324646 | — | 0 | 2 | A | Unknown |
| NPV Advisory Services, LLC CRD: 172497 | — | 0 | 1 | A | Unknown |
| NPW Inc. CRD: 310288 | — | 0 | 0 | A | Unknown |
| NR Smith and Associates, P.S. CRD: 116894 | — | 0 | 0 | A | Unknown |
| Nrep a/S CRD: 174998 | — | 0 | 0 | A | Unknown |