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 |
|---|---|---|---|---|---|
| Adleberg Asset Advisors, LLC CRD: 144606 | - | 0 | 0 | - | Unknown |
| Adler Asset Management, LLC CRD: 293512 | - | 0 | 1 | - | Unknown |
| Adler Coleman & Co., Inc. CRD: 16104 | - | 0 | 0 | A | INACTIVE |
| Adler Financial CRD: 310978 | - | 0 | 2 | - | Unknown |
| Adler, Coleman & Co. CRD: 1022 | - | 0 | 0 | A | INACTIVE |
| Adler, Robert CRD: 304216 | - | 0 | 0 | - | Unknown |
| ADM Securities, Inc. CRD: 31973 | - | 0 | 0 | A | INACTIVE |
| Administrative Systems, Inc. CRD: 13812 | - | 4 | 0 | C | INACTIVE |
| Admiral Asset Management, LLC CRD: 163093 | - | 0 | 0 | - | Unknown |
| Admiral Discount Corporation CRD: 13512 | - | 0 | 0 | A | INACTIVE |
| Admiral Securities LLC CRD: 324098 | NY | 0 | 3 | A | Active |
| Admiralty Harbour Capital Limited CRD: 317339 | - | 0 | 0 | - | Unknown |
| Adolos Asset Management CRD: 315505 | - | 0 | 3 | - | Unknown |
| Adolph Komorsky Investments CRD: 30838 | - | 7 | 0 | D | INACTIVE |
| Adondo Capital CRD: 152672 | - | 0 | 0 | - | Unknown |
| Ados Inc. CRD: 296849 | - | 0 | 0 | - | Unknown |
| Adoy LLC CRD: 312240 | - | 0 | 0 | - | Unknown |
| ADP Broker-Dealer, Inc. CRD: 37693 | NJ | 0 | 11 | A | Active |
| ADP I GP Limited CRD: 284979 | - | 0 | 0 | - | Unknown |
| ADP II GP Limited CRD: 285019 | - | 0 | 0 | - | Unknown |
| ADP III GP Limited CRD: 300175 | - | 0 | 0 | - | Unknown |
| ADP Strategic Plan Services, LLC CRD: 286555 | - | 0 | 1 | - | Unknown |
| Adrian DAY Asset Management CRD: 105985 | - | 0 | 2 | - | Unknown |
| Adrian LEE & Partners CRD: 110822 | - | 0 | 0 | - | Unknown |
| Adriatic Wealth Management LLC CRD: 287493 | - | 0 | 1 | - | Unknown |
| Adrionic Technologies LLC CRD: 312903 | - | 0 | 2 | - | Unknown |
| ADS Wealth Management LLC CRD: 305021 | - | 0 | 2 | - | Unknown |
| Adsuar Muniz Goyco Seda & Perez-Ochoa, P.S.C. CRD: 168387 | - | 0 | 0 | - | Unknown |
| ADT Enterprises CRD: 14399 | - | 0 | 0 | A | INACTIVE |
| Adtigo Investment Advisors, LLC CRD: 289311 | - | 0 | 2 | - | Unknown |
| Aduna Capital CRD: 311270 | - | 0 | 1 | - | Unknown |
| Aduro Ventures CRD: 165993 | - | 0 | 0 | - | Unknown |
| ADV Investment Management CRD: 125326 | - | 0 | 1 | - | Unknown |
| Advaita Capital LLC CRD: 325205 | - | 0 | 0 | - | Unknown |
| Advance Brokerage Services, Inc. CRD: 16820 | - | 0 | 0 | A | INACTIVE |
| Advance Capital Securities Corp. CRD: 15269 | - | 0 | 0 | A | INACTIVE |
| Advance Global Capital Ltd. CRD: 284467 | - | 0 | 0 | - | Unknown |
| Advance RE Holding, Ltd. CRD: 172723 | - | 0 | 0 | - | Unknown |
| Advance Wave Partners, LLC CRD: 281452 | - | 0 | 1 | - | Unknown |
| Advanced Advisor Group, LLC CRD: 140393 | MN | 0 | 30 | A | Active |
| Advanced Asset Management Advisors, Inc. CRD: 119859 | - | 0 | 4 | - | Unknown |
| Advanced Asset Planning Service CRD: 129171 | - | 0 | 0 | - | Unknown |
| Advanced Asset Protection, LLC CRD: 152446 | - | 0 | 0 | - | Unknown |
| Advanced Asset Trading, Inc CRD: 37044 | - | 3 | 0 | C | INACTIVE |
| Advanced Beta Funds, LLC CRD: 321663 | - | 0 | 0 | - | Unknown |
| Advanced Capital Advisors, LLC CRD: 113628 | - | 0 | 2 | - | Unknown |
| Advanced Capital Group CRD: 109673 | - | 0 | 2 | - | Unknown |
| Advanced Equities Services Corp. CRD: 104377 | - | 0 | 0 | A | INACTIVE |
| Advanced Equities, Inc. CRD: 35545 | - | 13 | 0 | D | INACTIVE |
| Advanced Equity Group, Inc. CRD: 13873 | - | 0 | 0 | A | INACTIVE |