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 |
|---|---|---|---|---|---|
| Dalby, Randy RAY CRD: 34574 | - | 0 | 0 | A | INACTIVE |
| Dalco Capital Management, LLC CRD: 329757 | - | 0 | 1 | - | Unknown |
| Dale Buckner, Inc. CRD: 116342 | - | 0 | 0 | - | Unknown |
| Dale K. Ehrhart, Inc. CRD: 35971 | - | 0 | 3 | A | INACTIVE |
| Dale L. Miller, Registered Investment Advisor, LLC CRD: 112588 | - | 0 | 0 | - | Unknown |
| Dale OIL & GAS Partners, LLC CRD: 162289 | - | 0 | 0 | - | Unknown |
| Dale Q. Rice Investment Management CRD: 310614 | - | 0 | 1 | - | Unknown |
| Dale Tiongson CRD: 338149 | - | 0 | 1 | - | Unknown |
| Dale, Barry N. CRD: 159037 | - | 0 | 1 | - | Unknown |
| Daleco Securities, Inc. CRD: 7913 | - | 0 | 0 | A | INACTIVE |
| Daleiden Wealth Advisors CRD: 323892 | - | 0 | 1 | - | Unknown |
| Dalena Capital, LLC CRD: 337882 | - | 0 | 1 | - | Unknown |
| Dalesandro, Michael Anthony CRD: 33791 | - | 0 | 0 | A | INACTIVE |
| Dalewood Wealth Management, LLC CRD: 333618 | - | 0 | 0 | - | Unknown |
| Daley & Company CRD: 6282 | - | 0 | 0 | A | INACTIVE |
| Daley Capital, Inc CRD: 146441 | - | 0 | 1 | - | Unknown |
| Daley Financial Planning LLC CRD: 329243 | - | 0 | 0 | - | Unknown |
| Dalfort Capital Partners CRD: 317495 | - | 0 | 1 | - | Unknown |
| Dalgin, Burak CRD: 313893 | - | 0 | 0 | - | Unknown |
| Daline Wealth Management, LLC CRD: 343058 | - | 0 | 1 | - | Unknown |
| Dallas Financial Advisors, LLC CRD: 328001 | - | 0 | 4 | - | Unknown |
| Dallas Financial Planning LLC CRD: 338591 | - | 0 | 1 | - | Unknown |
| Dallas Money Management LLC CRD: 153652 | - | 0 | 1 | - | Unknown |
| Dallas Research & Trading, Inc. CRD: 28806 | - | 0 | 0 | A | INACTIVE |
| Dallas Securities Investment Corporation CRD: 6647 | - | 0 | 0 | A | INACTIVE |
| Dallas Venture Capital CRD: 312358 | - | 0 | 1 | - | Unknown |
| Dallas Wealth Management CRD: 170792 | - | 0 | 0 | - | Unknown |
| Dallas/Park Cities Securities, Inc. CRD: 17131 | - | 0 | 0 | A | INACTIVE |
| Dalmore Capital Limited CRD: 342093 | - | 0 | 0 | - | Unknown |
| Dalmore Group LLC CRD: 136352 | NY | 2 | 13 | B | Active |
| Dalpha Capital Management, LLC CRD: 308044 | - | 0 | 0 | - | Unknown |
| Dalreg Corporation CRD: 20998 | - | 0 | 0 | A | INACTIVE |
| Dalrymple Securities Corp. CRD: 15976 | - | 0 | 0 | A | INACTIVE |
| Dalton Financial LLC CRD: 167878 | - | 0 | 1 | - | Unknown |
| Dalton Investments LLC CRD: 109538 | - | 0 | 0 | - | Unknown |
| Dalton Investments, Inc. CRD: 308609 | - | 0 | 1 | - | Unknown |
| Dalton Kent Securities Group, Inc. CRD: 38813 | - | 5 | 0 | C | INACTIVE |
| Dalton Strategic Investment Services Inc. CRD: 23485 | - | 4 | 0 | C | INACTIVE |
| Dalton Strategic Partnership LLP CRD: 136973 | - | 0 | 0 | - | Unknown |
| Dalton Wealth Planners CRD: 334952 | - | 0 | 1 | - | Unknown |
| Dalton, Greiner, Hartman, Maher & Co., LLC CRD: 130913 | - | 0 | 0 | - | Unknown |
| Dalvi Investment Funds, LLC CRD: 170425 | - | 0 | 0 | - | Unknown |
| Daly Financial Coaching, LLC CRD: 330271 | - | 0 | 0 | - | Unknown |
| Daly Investment Co. CRD: 17595 | - | 3 | 0 | C | INACTIVE |
| Daly Investment Management, LLC CRD: 149980 | - | 0 | 1 | - | Unknown |
| Dalzell Trading, LLC CRD: 175349 | - | 0 | 0 | A | INACTIVE |
| DAM Capital (USA) Inc. CRD: 154945 | FL | 0 | 2 | A | Active |
| Damar Development Corporation CRD: 18250 | - | 0 | 0 | A | INACTIVE |
| Dame Caroline CRD: 340656 | - | 0 | 0 | - | Unknown |
| Damian Capital Management, LLC CRD: 127105 | - | 0 | 3 | - | Unknown |