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 |
|---|---|---|---|---|---|
| Advise and Monitor Financial CRD: 158650 | - | 0 | 0 | - | Unknown |
| Advise Financial CRD: 282087 | - | 0 | 1 | - | Unknown |
| Adviseme National Advisors CRD: 141129 | - | 0 | 0 | - | Unknown |
| Adviser Alliance, LLC CRD: 287551 | - | 0 | 6 | - | Unknown |
| Adviser Financial Group, Inc CRD: 115049 | - | 0 | 1 | - | Unknown |
| Adviser Investments Acquisition Co LLC CRD: 156985 | - | 0 | 0 | - | Unknown |
| Advisers Investment Management, Inc. CRD: 112649 | - | 0 | 7 | - | Unknown |
| Advisifi LLC CRD: 332477 | - | 0 | 1 | - | Unknown |
| Advising for Life, LLC CRD: 336634 | - | 0 | 1 | - | Unknown |
| Adviso Wealth CRD: 308198 | - | 0 | 1 | - | Unknown |
| Advisor 123 LLC CRD: 316880 | - | 0 | 1 | - | Unknown |
| Advisor Alliance LLC CRD: 289813 | - | 0 | 1 | - | Unknown |
| Advisor Back Office Technologies, LLC CRD: 269964 | - | 0 | 0 | - | Unknown |
| Advisor Direct CRD: 141363 | - | 0 | 0 | A | INACTIVE |
| Advisor Financial Group CRD: 122678 | - | 0 | 2 | - | Unknown |
| Advisor Financial Services, Inc. CRD: 118537 | - | 0 | 2 | - | Unknown |
| Advisor Financial Services, LLP CRD: 110115 | - | 0 | 0 | - | Unknown |
| Advisor Logistics, LLC CRD: 292784 | - | 0 | 1 | - | Unknown |
| Advisor Management, LLC CRD: 306532 | - | 0 | 0 | - | Unknown |
| Advisor ONE, LLC CRD: 169498 | - | 0 | 1 | - | Unknown |
| Advisor Partners, LLC CRD: 114536 | - | 0 | 0 | - | Unknown |
| Advisor Research Partners, LLC CRD: 174121 | - | 0 | 0 | - | Unknown |
| Advisor Resource Council CRD: 164109 | - | 0 | 84 | - | Unknown |
| Advisor Services, Inc. CRD: 107666 | - | 0 | 2 | - | Unknown |
| Advisor Share Wealth Management, LLC CRD: 307997 | - | 0 | 47 | - | Unknown |
| Advisor Translation LLC CRD: 298281 | - | 0 | 0 | - | Unknown |
| Advisor's Capital Investments Inc, CRD: 104811 | - | 0 | 0 | - | Unknown |
| Advisor's Capital Research, Inc. CRD: 131887 | - | 0 | 0 | - | Unknown |
| ADVISOR.COM CRD: 318823 | - | 0 | 2 | - | Unknown |
| ADVISOR.INVESTMENTS CRD: 142202 | - | 0 | 1 | - | Unknown |
| Advisorlist, Inc. CRD: 282492 | - | 0 | 0 | - | Unknown |
| Advisornet Wealth Partners CRD: 113074 | - | 0 | 76 | - | Unknown |
| Advisorplanner, LLC CRD: 282944 | - | 0 | 1 | - | Unknown |
| Advisors Asset Management, Inc. CRD: 285455 | - | 0 | 2 | - | Unknown |
| Advisors Asset Management, Inc. CRD: 46727 | CO | 6 | 79 | B | Active |
| Advisors Crypto, Inc. CRD: 109201 | - | 0 | 1 | - | Unknown |
| Advisors Edge Securities, LLC CRD: 133840 | - | 0 | 0 | A | INACTIVE |
| Advisors Financial, Inc. CRD: 144837 | - | 0 | 2 | - | Unknown |
| Advisors Impact, LLC CRD: 323030 | - | 0 | 0 | - | Unknown |
| Advisors Management Group Inc CRD: 113020 | - | 0 | 6 | - | Unknown |
| Advisors Mutual Group, Inc CRD: 151040 | - | 0 | 0 | - | Unknown |
| Advisors on Call CRD: 315319 | - | 0 | 2 | - | Unknown |
| Advisors Preferred LLC CRD: 157980 | - | 0 | 1 | - | Unknown |
| Advisors Trust Planning and Investment Company CRD: 142282 | - | 0 | 1 | - | Unknown |
| Advisors Unlimited CRD: 120315 | - | 0 | 0 | A | INACTIVE |
| Advisors Unlimited CRD: 281474 | - | 0 | 0 | - | Unknown |
| Advisors Wealth Management, Inc CRD: 172657 | - | 0 | 1 | - | Unknown |
| Advisors' Pride Inc. CRD: 170669 | - | 0 | 0 | - | Unknown |
| Advisors, LLC CRD: 306111 | - | 0 | 0 | - | Unknown |
| Advisorshares CRD: 149782 | - | 0 | 1 | - | Unknown |