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 |
|---|---|---|---|---|---|
| D/B/a Berger Advisory Services CRD: 110598 | - | 0 | 0 | - | Unknown |
| D/B/a Clarksons Platou Securities CRD: 113325 | - | 0 | 0 | A | INACTIVE |
| D/B/a Financial Awareness Institute CRD: 122763 | - | 0 | 2 | - | Unknown |
| D/B/a Palazzo CRD: 156378 | NY | 0 | 2 | A | Active |
| D/B/a Riverside Capital Management CRD: 163078 | - | 0 | 1 | - | Unknown |
| D/B/a Strategic Portfolio Management CRD: 109734 | - | 0 | 0 | - | Unknown |
| D/B/a the Davis Companies or Davis CRD: 161888 | - | 0 | 1 | - | Unknown |
| D/B/a/ Lauber Financial Planning CRD: 154928 | - | 0 | 0 | - | Unknown |
| D/W Financial Consultants LLC CRD: 149395 | - | 0 | 1 | - | Unknown |
| D1 Capital Partners L.P. CRD: 297298 | - | 0 | 1 | - | Unknown |
| D2 Asset Management CRD: 331542 | - | 0 | 1 | - | Unknown |
| D2 Capital Management CRD: 156362 | - | 0 | 1 | - | Unknown |
| D2 Investment Advisers & Associates CRD: 169061 | - | 0 | 0 | - | Unknown |
| D3 Advisors LLC CRD: 337401 | - | 0 | 2 | - | Unknown |
| D3 Financial Counselors LLC CRD: 123600 | - | 0 | 0 | - | Unknown |
| DA Capital LLC CRD: 138023 | - | 0 | 0 | - | Unknown |
| DA Capital LLC CRD: 329028 | - | 0 | 1 | - | Unknown |
| DA Financial Advisors, Inc. CRD: 115697 | - | 0 | 1 | - | Unknown |
| DA INV CRD: 334514 | - | 0 | 0 | - | Unknown |
| DA Wealth Advisors CRD: 331530 | - | 0 | 1 | - | Unknown |
| Daba Advisors LLC CRD: 319371 | - | 0 | 2 | - | Unknown |
| Dabbah Securities Corp. CRD: 26576 | NY | 3 | 2 | B | Active |
| Dabk Financial Planning Services CRD: 132234 | - | 0 | 1 | - | Unknown |
| Dabney Flanigan, LLC CRD: 43245 | - | 0 | 0 | A | INACTIVE |
| Dabney/Resnick/Imperial, LLC CRD: 24367 | - | 0 | 0 | A | INACTIVE |
| Dabra Capital Partners, LLC CRD: 309575 | - | 0 | 1 | - | Unknown |
| DAC Asset Management LLC CRD: 129838 | - | 0 | 0 | - | Unknown |
| DAC Investment Management, LLC CRD: 324010 | - | 0 | 0 | - | Unknown |
| DAC OPS I, LLC CRD: 313297 | - | 0 | 0 | - | Unknown |
| Dace Ventures CRD: 163275 | - | 0 | 0 | - | Unknown |
| Daceyholden Management, LLC CRD: 283655 | - | 0 | 1 | - | Unknown |
| Dachtler Wealth Advisors, LLC CRD: 335863 | - | 0 | 1 | - | Unknown |
| Dacon Securities Corp CRD: 15364 | - | 0 | 0 | A | INACTIVE |
| Dacosta Advisors CRD: 297038 | - | 0 | 0 | - | Unknown |
| Dacu Consulting LLC CRD: 304974 | - | 0 | 0 | - | Unknown |
| DAE HAN MI Securities, LLC CRD: 40764 | - | 0 | 0 | A | INACTIVE |
| DAE Wealth Management CRD: 324692 | - | 0 | 3 | - | Unknown |
| Daedalian Partners, LP CRD: 343163 | - | 0 | 1 | - | Unknown |
| Daedalus Capital Management CRD: 315617 | - | 0 | 0 | - | Unknown |
| Daedalus Securities Company CRD: 18210 | - | 0 | 0 | A | INACTIVE |
| Daeg Administrative Advisors, LLC CRD: 163929 | - | 0 | 0 | - | Unknown |
| Daehan Securities, Inc. CRD: 25447 | - | 3 | 0 | C | INACTIVE |
| Daehan Securities,Inc CRD: 167216 | - | 0 | 1 | - | Unknown |
| Daemon Investment and Asset Management, LLC CRD: 285629 | - | 0 | 1 | - | Unknown |
| DAF Management Company III, LLC CRD: 335091 | - | 0 | 0 | - | Unknown |
| Dafna Capital Management, LLC CRD: 129053 | - | 0 | 1 | - | Unknown |
| Dafna Meltzer CPA CRD: 130908 | - | 0 | 0 | - | Unknown |
| Daft Capital Management, LLC CRD: 339931 | - | 0 | 1 | - | Unknown |
| Daft Capital, LLC CRD: 315659 | - | 0 | 1 | - | Unknown |
| Dafully Inc. CRD: 151200 | - | 0 | 0 | - | Unknown |