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 |
|---|---|---|---|---|---|
| Advisorshares Advisors, LLC CRD: 167384 | - | 0 | 0 | - | Unknown |
| Advisorstrust Partners LLC CRD: 304967 | - | 0 | 3 | - | Unknown |
| Advisory CRD: 293370 | - | 0 | 0 | - | Unknown |
| Advisory Advocates LLC CRD: 284100 | - | 0 | 3 | - | Unknown |
| Advisory Alpha, LLC CRD: 158282 | - | 0 | 43 | - | Unknown |
| Advisory API Systems LLC CRD: 330083 | - | 0 | 1 | - | Unknown |
| Advisory Consulting Group LLC CRD: 142666 | - | 0 | 0 | - | Unknown |
| Advisory Dialectics CRD: 332273 | - | 0 | 2 | - | Unknown |
| Advisory Fusion, LLC CRD: 282227 | - | 0 | 0 | - | Unknown |
| Advisory Group West CRD: 127463 | - | 0 | 0 | - | Unknown |
| Advisory Partners, LLC CRD: 285518 | - | 0 | 0 | - | Unknown |
| Advisory Research Inc CRD: 108254 | - | 0 | 1 | - | Unknown |
| Advisory Resource Group, LLC CRD: 117314 | - | 0 | 0 | - | Unknown |
| Advisory Resource Group, LLC CRD: 191512 | - | 0 | 2 | - | Unknown |
| Advisory Services Network CRD: 146051 | - | 0 | 259 | - | Unknown |
| Advisory Services Northwest CRD: 329344 | - | 0 | 0 | - | Unknown |
| Advisory Services, Ltd. CRD: 125257 | - | 0 | 0 | - | Unknown |
| Advisory Solutions Group CRD: 339919 | - | 0 | 6 | - | Unknown |
| Advisory Solutions USA, LLC CRD: 281773 | - | 0 | 0 | - | Unknown |
| Advisuite CRD: 329395 | - | 0 | 1 | - | Unknown |
| Advitica Financial Planning LLC CRD: 116052 | - | 0 | 1 | - | Unknown |
| Advize Wealth Management CRD: 297380 | - | 0 | 1 | - | Unknown |
| Advocacy Financial LLC CRD: 305954 | - | 0 | 1 | - | Unknown |
| Advocacy Wealth Management & Corporate Benefits, L… CRD: 316249 | - | 0 | 0 | - | Unknown |
| Advocate Wealth Advisors CRD: 311367 | - | 0 | 0 | - | Unknown |
| Advocate Wealth Solutions CRD: 152534 | - | 0 | 1 | - | Unknown |
| Advocate Wealth, LLC CRD: 330165 | - | 0 | 1 | - | Unknown |
| Advocates Financial LLC CRD: 315986 | - | 0 | 0 | - | Unknown |
| Advocates Wealth Planning CRD: 138612 | - | 0 | 2 | - | Unknown |
| Advosion CRD: 130405 | - | 0 | 1 | - | Unknown |
| Advowealth Advisors, LLC CRD: 140034 | - | 0 | 2 | - | Unknown |
| Advue Capital CRD: 300061 | - | 0 | 0 | - | Unknown |
| Advus Financial Partners, LLC CRD: 311990 | - | 0 | 3 | - | Unknown |
| AE Advisors CRD: 316043 | - | 0 | 0 | - | Unknown |
| AE Blue Capital LLC CRD: 326996 | - | 0 | 1 | - | Unknown |
| AE Financial & Risk Management, Inc. CRD: 172395 | - | 0 | 1 | - | Unknown |
| AE Financial Services, LLC CRD: 298608 | KS | 0 | 14 | A | Active |
| AE Hansen LLC CRD: 282579 | - | 0 | 0 | - | Unknown |
| AE Industrial Partners, LP CRD: 173020 | - | 0 | 1 | - | Unknown |
| AE Partners L.L.C. CRD: 44752 | - | 0 | 0 | A | INACTIVE |
| AE Wealth Management, LLC CRD: 282580 | - | 0 | 625 | - | Unknown |
| AEA Enterprise Partners Management LP CRD: 132753 | - | 0 | 1 | - | Unknown |
| AEA QP Advisers LLC CRD: 124560 | - | 0 | 1 | - | Unknown |
| AEA Securities Inc. CRD: 11114 | - | 0 | 0 | A | INACTIVE |
| AEB Capital CRD: 159488 | - | 0 | 0 | - | Unknown |
| AEB Corporation CRD: 28591 | - | 2 | 0 | B | INACTIVE |
| AEC Holdings, L.P. CRD: 288791 | - | 0 | 0 | - | Unknown |
| AEC Transaction Services LLC CRD: 327839 | NY | 0 | 4 | A | Active |
| Aech Financial CRD: 336460 | - | 0 | 1 | - | Unknown |
| Aecom Capital Real Estate, LLC CRD: 298333 | - | 0 | 1 | - | Unknown |