Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| ARTEMIS CAPITAL PARTNERS LLC CRD: 323317 | — | 0 | 0 | A | Unknown |
| ARTEMIS WEALTH ADVISORS CRD: 319184 | — | 0 | 0 | A | Unknown |
| ARTEMIS WEALTH, LLC CRD: 139733 | — | 0 | 0 | A | Unknown |
| ARTERBURN AND WATTERS, LLP CRD: 111406 | — | 0 | 0 | A | Unknown |
| ARTHA ASSET MANAGEMENT LLC CRD: 313714 | — | 0 | 0 | A | Unknown |
| ARTHAM ADVISORS CRD: 318709 | — | 0 | 0 | A | Unknown |
| ARTHAM PARTNERS LLP CRD: 338667 | — | 0 | 0 | A | Unknown |
| ARTHUR D. CLARKE & CO. CRD: 104642 | — | 0 | 0 | A | Unknown |
| ARTHUR DEROSA & ASSOCIATES CRD: 15054 | — | 0 | 0 | A | INACTIVE |
| ARTHUR J. STITES, P.A. CRD: 129943 | — | 0 | 0 | A | Unknown |
| ARTHUR VENTURES CRD: 326592 | — | 0 | 0 | A | Unknown |
| ARTHUR ZASKE & ASSOCIATES, LLC CRD: 284447 | — | 0 | 0 | A | Unknown |
| ARTIFEX ADVISORY GROUP, INC. CRD: 281588 | — | 0 | 0 | A | Unknown |
| ARTIMAN VENTURES CRD: 162908 | — | 0 | 0 | A | Unknown |
| ARTISAN PARTNERS LIMITED PARTNERSHIP CRD: 150114 | — | 0 | 0 | A | Unknown |
| ARTISAN PARTNERS UK LLP CRD: 152711 | — | 0 | 0 | A | Unknown |
| ARTIUS MANAGEMENT LLC CRD: 299492 | — | 0 | 0 | A | Unknown |
| ARTIVEST ALTERNATIVE ADVISORS LLC CRD: 291989 | — | 0 | 0 | A | Unknown |
| ARTURA WEALTH, LLC CRD: 334786 | — | 0 | 0 | A | Unknown |
| ARV CAPITAL CORPORATION CRD: 17429 | — | 0 | 0 | A | INACTIVE |
| ARV MANAGEMENT, LLC CRD: 323641 | — | 0 | 0 | A | Unknown |
| ARX ADVISORS CRD: 336650 | — | 0 | 0 | A | Unknown |
| ARX MANAGEMENT, LLC CRD: 162404 | — | 0 | 0 | A | Unknown |
| ARX MANAGEMENT, LLC CRD: 305659 | — | 0 | 0 | A | Unknown |
| ARX PRIVATE WEALTH CRD: 338631 | — | 0 | 0 | A | Unknown |
| ARYA VENTURES VC, LLC CRD: 339185 | — | 0 | 0 | A | Unknown |
| AS AVARON ASSET MANAGEMENT CRD: 282350 | — | 0 | 0 | A | Unknown |
| AS INVESTMENTS, LLC CRD: 310066 | — | 0 | 0 | A | Unknown |
| AS TRIGON ASSET MANAGEMENT CRD: 286092 | — | 0 | 0 | A | Unknown |
| ASA ADVISORS, INC. CRD: 170898 | — | 0 | 0 | A | Unknown |
| ASA ASSET LLC CRD: 318688 | — | 0 | 0 | A | Unknown |
| ASA ASSET MANAGEMENT LLC CRD: 335177 | — | 0 | 0 | A | Unknown |
| ASAE INVESTMENTS CRD: 292169 | — | 0 | 0 | A | Unknown |
| ASANA PARTNERS, LP CRD: 284477 | — | 0 | 0 | A | Unknown |
| ASANTE PARTNERS LLC CRD: 103949 | — | 0 | 0 | A | INACTIVE |
| ASBURY CAPITAL CRD: 325293 | — | 0 | 0 | A | Unknown |
| ASC 401(K) MANAGEMENT CRD: 220516 | — | 0 | 0 | A | Unknown |
| ASC, INC. CRD: 13622 | — | 0 | 0 | A | INACTIVE |
| ASCEND FINANCIAL CRD: 325357 | — | 0 | 0 | A | Unknown |
| ASCEND PARTNERS CRD: 310515 | — | 0 | 0 | A | Unknown |
| ASCEND WEALTH ADVISORS, LLC CRD: 329553 | — | 0 | 0 | A | Unknown |
| ASCENDANCE WEALTH CRD: 142583 | — | 0 | 0 | A | Unknown |
| ASCENDANT ADVISORS, LLC CRD: 151127 | — | 0 | 0 | A | Unknown |
| ASCENDING ASSETS CRD: 291852 | — | 0 | 0 | A | Unknown |
| ASCENDOR WEALTH, LLC CRD: 148969 | — | 0 | 0 | A | Unknown |
| ASCENSION ADVISORS CRD: 337446 | — | 0 | 0 | A | Unknown |
| ASCENSUS SECURITIES CORP. CRD: 23367 | — | 0 | 0 | A | INACTIVE |
| ASCENT CRD: 315120 | — | 0 | 0 | A | Unknown |
| ASCENT ADVISORS CRD: 335353 | — | 0 | 0 | A | Unknown |
| ASCENT CAPITAL CRD: 131423 | — | 0 | 0 | A | Unknown |