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 |
|---|---|---|---|---|---|
| Pgim DC Solutions CRD: 318800 | — | 0 | 2 | A | Unknown |
| Pgim Investments LLC CRD: 105670 | — | 0 | 68 | A | Unknown |
| Pgim Limited CRD: 160005 | — | 0 | 0 | A | Unknown |
| Pgim Private Placement Investors, L.P. CRD: 106442 | — | 0 | 1 | A | Unknown |
| Pgim Quantitative Solutions CRD: 129752 | — | 0 | 3 | A | Unknown |
| Pgim Wadhwani LLP CRD: 161434 | — | 0 | 0 | A | Unknown |
| Pgim, Inc. CRD: 105676 | — | 0 | 3 | A | Unknown |
| PGM Global Inc. CRD: 104387 | — | 0 | 0 | A | Active |
| PGM Inc. CRD: 299309 | — | 0 | 0 | A | Unknown |
| PGP Financial, Inc. CRD: 21617 | — | 2 | 0 | B | INACTIVE |
| PGR Securities, LLC CRD: 133299 | — | 0 | 0 | A | INACTIVE |
| PGW Financial CRD: 333607 | — | 0 | 1 | A | Unknown |
| PH Partners, LLC CRD: 130790 | TX | 3 | 2 | B | Active |
| Phaeacian Partners LLC CRD: 307899 | — | 0 | 0 | A | Unknown |
| Phan Capital CRD: 301304 | — | 0 | 1 | A | Unknown |
| Pharmd Financial Planning LLC CRD: 311179 | — | 0 | 1 | A | Unknown |
| Pharo Management, Inc. CRD: 141216 | — | 0 | 1 | A | Unknown |
| Phase 2 Partners CRD: 311741 | — | 0 | 0 | A | Unknown |
| Phase4 Partners CRD: 161591 | — | 0 | 0 | A | Unknown |
| Phasic LLC CRD: 337599 | — | 0 | 1 | A | Unknown |
| PHC Merchant Group, LLC CRD: 45031 | — | 0 | 0 | A | INACTIVE |
| PHCP, LLC CRD: 300729 | FL | 0 | 2 | A | Active |
| PHD Capital CRD: 38785 | — | 8 | 0 | D | INACTIVE |
| Phibbs Financial CRD: 322093 | — | 0 | 1 | A | Unknown |
| Phil a. Younker & Associates, Ltd. CRD: 311775 | — | 0 | 1 | A | Unknown |
| Philanna Capital, L.L.C CRD: 41717 | — | 1 | 0 | B | INACTIVE |
| Philes Corporation CRD: 34879 | — | 0 | 0 | A | INACTIVE |
| Phillip James Financial Co. CRD: 168228 | — | 0 | 1 | A | Unknown |
| Phillips Financial CRD: 131344 | — | 0 | 3 | A | Unknown |
| Phillips Perera and Company Inc. CRD: 14291 | — | 0 | 0 | A | INACTIVE |
| Phillips Securities Corp. CRD: 10149 | — | 0 | 0 | A | INACTIVE |
| Phillips Wealth Planners LLC CRD: 319226 | — | 0 | 1 | A | Unknown |
| Philos & Partners AG CRD: 323552 | — | 0 | 0 | A | Unknown |
| Phobos, LLC CRD: 292170 | — | 0 | 1 | A | Unknown |
| Phoenix Financial CRD: 283876 | — | 0 | 0 | A | Unknown |
| Phoenix IB CRD: 132710 | PA | 0 | 6 | A | Active |
| Phoenix Investment CRD: 299731 | — | 0 | 1 | A | Unknown |
| Phoenix Merchant Partners, LP CRD: 324381 | — | 0 | 1 | A | Unknown |
| Phoenix Partners Inc. CRD: 13074 | — | 0 | 0 | A | INACTIVE |
| Phoenix Partners, L.L.C. CRD: 32891 | — | 1 | 0 | B | INACTIVE |
| Phoenix Partners, LP CRD: 113911 | — | 0 | 0 | A | INACTIVE |
| Phoenix Property Investors Limited CRD: 162476 | — | 0 | 0 | A | Unknown |
| Phoenix Venture Partners CRD: 162628 | — | 0 | 1 | A | Unknown |
| Phorcys Capital Partners, LLC CRD: 285635 | — | 0 | 1 | A | Unknown |
| PHX Financial, Inc. CRD: 144403 | NY | 6 | 7 | B | Active |
| PHX Manco CRD: 327811 | — | 0 | 1 | A | Unknown |
| Physic Ventures CRD: 162100 | — | 0 | 0 | A | Unknown |
| Physis Investment CRD: 304911 | — | 0 | 0 | A | Unknown |
| PI DAY Wealth Planning LLC CRD: 298969 | — | 0 | 0 | A | Unknown |
| PI Investments LLC CRD: 121799 | — | 0 | 0 | A | Unknown |