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 |
|---|---|---|---|---|---|
| Dawson Partners CRD: 281728 | - | 0 | 0 | - | Unknown |
| DAX J Sullinger Capital Partners CRD: 313141 | - | 0 | 0 | - | Unknown |
| DAX Partners L.P. CRD: 40547 | - | 1 | 0 | B | INACTIVE |
| Daxmar Advisors CRD: 290436 | - | 0 | 1 | - | Unknown |
| DAY & Ennis, LLC CRD: 125549 | - | 0 | 0 | - | Unknown |
| DAY Hagan Asset Management CRD: 139671 | - | 0 | 0 | - | Unknown |
| DAY International Securities (DIS) CRD: 23405 | - | 4 | 0 | C | INACTIVE |
| DAY Investment Advisors, LLC CRD: 144269 | - | 0 | 0 | - | Unknown |
| DAY ONE Ventures Management LLC CRD: 290294 | - | 0 | 1 | - | Unknown |
| DAY View Capital Management CRD: 290392 | - | 0 | 0 | - | Unknown |
| DAY Wealth Management, Inc. CRD: 141803 | - | 0 | 0 | - | Unknown |
| Dayah Capital LLC CRD: 327487 | - | 0 | 1 | - | Unknown |
| Daybreak Ventures Management, LLC CRD: 321181 | - | 0 | 1 | - | Unknown |
| Daybreak Wealth, LLC CRD: 322844 | - | 0 | 1 | - | Unknown |
| Daybright Advisory Services, Inc. CRD: 133795 | - | 0 | 20 | - | Unknown |
| Daybright Securities, LLC CRD: 293128 | FL | 0 | 4 | A | Active |
| Daydream Ventures Management Company CRD: 331651 | - | 0 | 1 | - | Unknown |
| Daye Capital, LLC CRD: 158211 | - | 0 | 0 | - | Unknown |
| Daylight Capital, LLC CRD: 316211 | - | 0 | 1 | - | Unknown |
| Daylight Online Brokerage, LLC CRD: 47897 | - | 0 | 0 | A | INACTIVE |
| Daymark Advisors CRD: 128751 | - | 0 | 0 | - | Unknown |
| Daymark Wealth Partners, LLC CRD: 320878 | - | 0 | 19 | - | Unknown |
| Dayone Capital Fund I GP Ltd CRD: 319610 | - | 0 | 0 | - | Unknown |
| Dayone Capital Investment Limited CRD: 319612 | - | 0 | 0 | - | Unknown |
| Dayone Capital Management Limited CRD: 319613 | - | 0 | 0 | - | Unknown |
| Days Global Advisors CRD: 324497 | - | 0 | 1 | - | Unknown |
| Dayspring Investment Group CRD: 27083 | - | 1 | 0 | B | INACTIVE |
| Dayton Advisors LLC CRD: 284625 | - | 0 | 0 | - | Unknown |
| Dayton Craft Manager, LLC CRD: 341800 | - | 0 | 1 | - | Unknown |
| Dayton Haigney & Co., Inc. CRD: 2111 | - | 0 | 0 | A | INACTIVE |
| Dayton, Kahn, Heppe, Hancock & Co. CRD: 8153 | - | 0 | 0 | A | INACTIVE |
| Daytona Street Capital CRD: 316666 | - | 0 | 1 | - | Unknown |
| DAYTRADING.NET L.L.C. CRD: 43688 | - | 0 | 0 | A | INACTIVE |
| Dayuan Information Tech Limited CRD: 308636 | - | 0 | 0 | - | Unknown |
| DB & C Advisors, LLC CRD: 155645 | - | 0 | 2 | - | Unknown |
| DB Advisors CRD: 134485 | - | 0 | 2 | - | Unknown |
| DB Advisory America, Limited(Ltd) CRD: 313938 | - | 0 | 1 | - | Unknown |
| DB Alex. Brown LLC CRD: 17790 | - | 34 | 0 | F | INACTIVE |
| DB Asset Management,LLC. CRD: 169069 | - | 0 | 2 | - | Unknown |
| DB Financial Management, Inc. CRD: 112107 | - | 0 | 0 | - | Unknown |
| DB Fitzpatrick CRD: 105671 | - | 0 | 1 | - | Unknown |
| DB Investment Managers, Inc CRD: 108204 | - | 0 | 0 | - | Unknown |
| DB Securities Services NJ Inc. CRD: 142775 | - | 0 | 0 | A | INACTIVE |
| DB Wealth Management Group, LLC CRD: 135317 | - | 0 | 0 | - | Unknown |
| DBA a1a 401K CRD: 286169 | - | 0 | 0 | - | Unknown |
| DBA Angel Rock Advisors and Angel Rock Fiduciary P… CRD: 283015 | - | 0 | 0 | - | Unknown |
| DBA Arbor Financial Services CRD: 122152 | - | 0 | 0 | - | Unknown |
| DBA Asset Management, LLC CRD: 328018 | - | 0 | 1 | - | Unknown |
| DBA BIG Money Retirement and BIG Retirement CRD: 318698 | - | 0 | 2 | - | Unknown |
| DBA Chippewa Partners CRD: 110120 | - | 0 | 0 | - | Unknown |