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 |
|---|---|---|---|---|---|
| DAG Global, LLC CRD: 293553 | - | 0 | 0 | - | Unknown |
| DAG Securities Inc. CRD: 44376 | - | 0 | 0 | A | INACTIVE |
| DAG Ventures CRD: 162705 | - | 0 | 1 | - | Unknown |
| Daga Capital Management CRD: 308390 | - | 0 | 0 | - | Unknown |
| Dagel Financial, Inc CRD: 141780 | - | 0 | 0 | - | Unknown |
| Dahab Associates Inc CRD: 108356 | - | 0 | 1 | - | Unknown |
| Daher Capital Group, LLC CRD: 341516 | - | 0 | 1 | - | Unknown |
| Dahl Financial Services, Inc. CRD: 123077 | - | 0 | 2 | - | Unknown |
| Dahl Securities Corporation CRD: 8125 | - | 0 | 0 | A | INACTIVE |
| Dahlke & Co., Inc. CRD: 7166 | - | 0 | 0 | A | INACTIVE |
| Dahring | Cusmano and Associates CRD: 301236 | - | 0 | 1 | - | Unknown |
| DAI Advisors CRD: 300332 | - | 0 | 1 | - | Unknown |
| DAI Securities, LLC CRD: 36673 | GA | 2 | 39 | B | Active |
| DAI Wealth, LLC CRD: 138938 | - | 0 | 25 | - | Unknown |
| Dailey Securities,Inc. CRD: 15504 | - | 0 | 0 | A | INACTIVE |
| Daily Access Advisors, Inc. CRD: 104224 | - | 0 | 0 | A | INACTIVE |
| Daily Bread Financial Planning CRD: 171528 | - | 0 | 0 | - | Unknown |
| Daimlerchrysler Insurance Agency CRD: 43259 | - | 0 | 0 | A | INACTIVE |
| Daimyo Capital Partners CRD: 323893 | - | 0 | 0 | - | Unknown |
| Daimyo Investment Management LLC CRD: 342033 | - | 0 | 1 | - | Unknown |
| Dain Rauscher Incorporated CRD: 7600 | - | 0 | 0 | A | INACTIVE |
| Daintree Advisors LLC CRD: 153197 | - | 0 | 0 | - | Unknown |
| Dais Advisors, LLC CRD: 156860 | - | 0 | 0 | - | Unknown |
| Daishin International (America), Inc. CRD: 39125 | - | 0 | 0 | A | INACTIVE |
| Daiwa America Strategic Advisors Corporation CRD: 27542 | - | 0 | 0 | A | INACTIVE |
| Daiwa Asset Management (America) Ltd CRD: 126191 | - | 0 | 1 | - | Unknown |
| Daiwa Capital Management Silicon Valley Inc. CRD: 307581 | - | 0 | 1 | - | Unknown |
| Daiwa Capital Markets America Inc. CRD: 1576 | NY | 30 | 29 | D | Active |
| Daiwa International Capital Partners Limited CRD: 325039 | - | 0 | 0 | - | Unknown |
| Daiwa SB Investments (Singapore) Ltd. CRD: 110426 | - | 0 | 0 | - | Unknown |
| Daiwa SB Investments Ltd CRD: 110077 | - | 0 | 0 | - | Unknown |
| DAK Capital, LLC CRD: 145887 | - | 0 | 0 | A | INACTIVE |
| DAK Financial Services, LLC CRD: 283747 | - | 0 | 0 | - | Unknown |
| Dakin Securities Corporation CRD: 6142 | - | 0 | 0 | A | INACTIVE |
| Dakore Wealth Management, LLC CRD: 310618 | - | 0 | 0 | - | Unknown |
| Dakota Asset Management, LLC CRD: 283690 | - | 0 | 2 | - | Unknown |
| Dakota Coast Capital, LLC CRD: 300296 | - | 0 | 0 | - | Unknown |
| Dakota Financial Management CRD: 153275 | - | 0 | 0 | - | Unknown |
| Dakota Investments, LLC CRD: 290284 | - | 0 | 1 | - | Unknown |
| Dakota Pacific CRD: 166013 | - | 0 | 1 | - | Unknown |
| Dakota Pacific Global Macro Advisers LP CRD: 288781 | - | 0 | 0 | - | Unknown |
| Dakota Securities International, Inc CRD: 102260 | - | 0 | 0 | A | INACTIVE |
| Dakota Securities International, Inc. CRD: 132700 | - | 6 | 0 | D | INACTIVE |
| Dakota Wealth Advisors LLC CRD: 319527 | - | 0 | 1 | - | Unknown |
| Dakota Wealth Management, LLC CRD: 153354 | - | 0 | 0 | - | Unknown |
| Dakota Wealth Solutions, LLC CRD: 165708 | - | 0 | 0 | - | Unknown |
| Dakota Wealth, LLC CRD: 141137 | - | 0 | 0 | - | Unknown |
| Dakota Wealth, LLC CRD: 297987 | - | 0 | 51 | - | Unknown |
| Dakoy Capital Markets LLC CRD: 169954 | - | 1 | 0 | B | INACTIVE |
| DAL and Company CRD: 24604 | - | 0 | 0 | A | INACTIVE |