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 |
|---|---|---|---|---|---|
| APPOMATTOX ADVISORY, INC CRD: 153731 | — | 0 | 0 | A | Unknown |
| APRICUS WEALTH LLC CRD: 306239 | — | 0 | 0 | A | Unknown |
| APRIEM ADVISORS CRD: 108188 | — | 0 | 0 | A | Unknown |
| APRIL ASSET MANAGEMENT LLC CRD: 317614 | — | 0 | 0 | A | Unknown |
| APRILANTE, ANTHONY MICHAEL CRD: 137011 | — | 0 | 0 | A | INACTIVE |
| APS FINANCIAL CORPORATION CRD: 10033 | — | 19 | 0 | F | INACTIVE |
| APS LABS, LLC CRD: 172175 | — | 0 | 0 | A | Unknown |
| APS WEALTH MANAGEMENT CRD: 121848 | — | 0 | 0 | A | Unknown |
| APSEC CAPITAL PARTNERS, LLC CRD: 149687 | CA | 0 | 1 | A | Active |
| APTION ADVISORS LLC CRD: 333568 | — | 0 | 0 | A | Unknown |
| APTO PARTNERS, LLC CRD: 155843 | NJ | 0 | 1 | A | Active |
| APW CAPITAL, INC. CRD: 43814 | NJ | 3 | 1 | F | Active |
| APX INVESTMENTS LLC CRD: 328019 | — | 0 | 0 | A | Unknown |
| AQIS MANAGEMENT LLC CRD: 288174 | — | 0 | 0 | A | Unknown |
| AQM CAPITAL LLC CRD: 175343 | — | 0 | 0 | A | Unknown |
| AQR ARBITRAGE, LLC CRD: 114626 | — | 0 | 0 | A | Unknown |
| AQR INVESTMENTS, LLC CRD: 289244 | CT | 0 | 1 | A | Active |
| AQS ASSET MANAGEMENT, L.L.C. CRD: 131544 | — | 0 | 0 | A | Unknown |
| AQS MANAGEMENT, LLC CRD: 317432 | — | 0 | 0 | A | Unknown |
| AQUA ADVISORS LLC CRD: 285399 | — | 0 | 0 | A | Unknown |
| AQUA CAPITAL ADVISORS CRD: 151887 | — | 0 | 0 | A | Unknown |
| AQUA SECURITIES L.P. CRD: 47681 | — | 1 | 0 | F | INACTIVE |
| AQUA-SPARK MANAGEMENT CRD: 170168 | — | 0 | 0 | A | Unknown |
| AQUAMARINE ZURICH AG CRD: 323809 | — | 0 | 0 | A | Unknown |
| AQUARIUS FINANCIAL CRD: 157425 | — | 0 | 0 | A | Unknown |
| AQUASPHERE AM, LLC CRD: 321776 | — | 0 | 0 | A | Unknown |
| AQUAVIS ADVISORS LLC CRD: 328827 | — | 0 | 0 | A | Unknown |
| AQUIDNECK ADVISORS LLC CRD: 338027 | — | 0 | 0 | A | Unknown |
| AQUILA WEALTH ADVISORS CRD: 290083 | — | 0 | 0 | A | Unknown |
| AQUILANT ADVISORS CRD: 282953 | — | 0 | 0 | A | Unknown |
| AQUILO PARTNERS, L.P. CRD: 114909 | CA | 0 | 1 | A | Active |
| AQUINAS ADVISORS, LLC CRD: 114460 | — | 0 | 0 | A | Unknown |
| AR ASSET MANAGEMENT, INC. CRD: 110342 | — | 0 | 0 | A | Unknown |
| AR RESOURCES, INC. CRD: 288636 | — | 0 | 0 | A | Unknown |
| AR4, LLC CRD: 326455 | — | 0 | 0 | A | Unknown |
| ARA GC PARTNERS, LLC CRD: 334354 | — | 0 | 0 | A | Unknown |
| ARA PARTNERS CRD: 298845 | — | 0 | 0 | A | Unknown |
| ARADIR CORPORATION CRD: 31909 | — | 1 | 0 | F | INACTIVE |
| ARAGON ADVISORS CRD: 317462 | — | 0 | 0 | A | Unknown |
| ARAGON INVESTMENTS, LTD. CRD: 37134 | — | 0 | 0 | A | INACTIVE |
| ARAPAHO PARTNERS, LLC CRD: 44665 | — | 0 | 0 | A | INACTIVE |
| ARAX ADVISORY PARTNERS CRD: 133535 | — | 0 | 0 | A | Unknown |
| ARB CAPITAL LLC CRD: 334816 | — | 0 | 0 | A | Unknown |
| ARB ENERGY LLC CRD: 322168 | — | 0 | 0 | A | Unknown |
| ARBITER PARTNERS CRD: 156290 | — | 0 | 0 | A | Unknown |
| ARBOGAST ADVISERS LLC CRD: 174026 | — | 0 | 0 | A | Unknown |
| ARBOP LLC CRD: 314574 | — | 0 | 0 | A | Unknown |
| ARBOR ADVISORS, LLC CRD: 136950 | — | 0 | 0 | A | INACTIVE |
| ARBOR ASSET MANAGEMENT, LLC CRD: 112048 | — | 0 | 0 | A | Unknown |
| ARBOR FINANCIAL CRD: 281317 | — | 0 | 0 | A | Unknown |