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 |
|---|---|---|---|---|---|
| PEL Financial, LLC CRD: 305126 | — | 0 | 0 | A | Unknown |
| Pelican Advisory LLC CRD: 330658 | — | 0 | 1 | A | Unknown |
| Pelican Financial Planning and Wealth, PLLC CRD: 335198 | — | 0 | 1 | A | Unknown |
| Pelican Quantitative Investments, LLC CRD: 163436 | — | 0 | 0 | A | Unknown |
| Pelion Venture Partners CRD: 162762 | — | 0 | 1 | A | Unknown |
| Pellett Investments, Inc. CRD: 19834 | — | 0 | 0 | A | INACTIVE |
| Pelorus Jack Capital, L.P. CRD: 287678 | — | 0 | 0 | A | Unknown |
| Peltoma Capital Partners CRD: 325138 | — | 0 | 2 | A | Unknown |
| Pemberton Securities (U.S.) Inc. CRD: 1204 | — | 0 | 0 | A | INACTIVE |
| PEN Capital, LLC CRD: 339238 | — | 0 | 1 | A | Unknown |
| PEN Facs Financial Services CRD: 114039 | — | 0 | 1 | A | Unknown |
| Penates Group, Inc. CRD: 44266 | — | 1 | 0 | B | INACTIVE |
| Pencey Group CRD: 284326 | — | 0 | 0 | A | Unknown |
| Pendo, LLC CRD: 143484 | — | 0 | 0 | A | Unknown |
| Pendulum Wealth Partners CRD: 335762 | — | 0 | 1 | A | Unknown |
| Peneco Investments LLC CRD: 108939 | — | 0 | 0 | A | Unknown |
| Penfund Prime Management Ltd CRD: 333096 | — | 0 | 0 | A | Unknown |
| Peng, Weida CRD: 136456 | — | 1 | 0 | B | INACTIVE |
| Penhasi, Harry Evan CRD: 42078 | — | 0 | 0 | A | INACTIVE |
| Peninsula Capital Partners, L.L.C. CRD: 157354 | — | 0 | 1 | A | Unknown |
| Peninsula-KCG GP, LLC CRD: 166780 | — | 0 | 0 | A | Unknown |
| Peninsula-KCG GP, LLC CRD: 307149 | — | 0 | 1 | A | Unknown |
| Penmar CRD: 339676 | — | 0 | 1 | A | Unknown |
| Penn Advisory Group Inc. CRD: 315991 | — | 0 | 3 | A | Unknown |
| Penn Mezzanine Partners Management, L.P. CRD: 160502 | — | 0 | 0 | A | Unknown |
| Penn Plaza Brokerage, Ltd. CRD: 22366 | — | 3 | 0 | C | INACTIVE |
| Penn Portfolio Partners LLC CRD: 333736 | — | 0 | 1 | A | Unknown |
| Penn Securities LLC CRD: 315065 | — | 0 | 0 | A | INACTIVE |
| Penn Securities, Inc. CRD: 45622 | — | 0 | 0 | A | INACTIVE |
| Penney Financial CRD: 282084 | — | 0 | 3 | A | Unknown |
| Pennfield Capital Corp CRD: 111464 | — | 0 | 1 | A | Unknown |
| Pennington Partners & Co., LLC CRD: 282688 | — | 0 | 2 | A | Unknown |
| Penntax Advisory Group, Inc. CRD: 13266 | — | 0 | 0 | A | INACTIVE |
| Penobscot - MB Partners CRD: 23419 | — | 0 | 0 | A | INACTIVE |
| Pensco Pension Services, Inc. CRD: 42079 | — | 0 | 0 | A | INACTIVE |
| Pension Investments, Inc. CRD: 4203 | — | 0 | 0 | A | INACTIVE |
| Pension Partners CRD: 311774 | — | 0 | 0 | A | Unknown |
| Pension Partners, LLC CRD: 125772 | — | 0 | 2 | A | Unknown |
| Pension Planning Solutions, Inc. CRD: 126393 | — | 0 | 1 | A | Unknown |
| Pensions Plus, Inc. CRD: 15677 | — | 0 | 0 | A | INACTIVE |
| Penta Family Office SA CRD: 282402 | — | 0 | 0 | A | Unknown |
| Pentad Securities, Inc. CRD: 15161 | — | 8 | 0 | D | INACTIVE |
| Pentegra Investors, Inc. CRD: 111503 | — | 0 | 2 | A | Unknown |
| Pento Portfolio Strategies, LLC CRD: 159217 | — | 0 | 1 | A | Unknown |
| Pentron Securities Corp. CRD: 13601 | — | 0 | 0 | A | INACTIVE |
| Pentwater Capital Management LP CRD: 156873 | — | 0 | 1 | A | Unknown |
| PEO Partners, LLC CRD: 311201 | — | 0 | 1 | A | Unknown |
| People First Financial Advisors CRD: 143919 | — | 0 | 1 | A | Unknown |
| People's Securities, Inc. CRD: 13704 | — | 6 | 0 | D | INACTIVE |
| People's United Advisors, Inc. CRD: 292454 | — | 0 | 0 | A | Unknown |