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 |
|---|---|---|---|---|---|
| Aecom-Canyon Partners Real Estate Fund Advisors LL… CRD: 297526 | - | 0 | 1 | - | Unknown |
| Aedis Capital LLC CRD: 174634 | - | 0 | 0 | - | Unknown |
| AEG Capital, LLC CRD: 168097 | IL | 0 | 2 | A | Active |
| Aegina Capital, LLC CRD: 337910 | - | 0 | 1 | - | Unknown |
| Aegis Asset Management Inc CRD: 111413 | - | 0 | 0 | - | Unknown |
| Aegis Asset Management, Inc. CRD: 305008 | - | 0 | 1 | - | Unknown |
| Aegis Capital Corp. CRD: 15007 | NY | 45 | 72 | C | Active |
| Aegis Capital Group CRD: 336467 | - | 0 | 1 | - | Unknown |
| Aegis Energy Advisors Corp. CRD: 38500 | - | 0 | 0 | A | INACTIVE |
| Aegis Financial CRD: 305030 | - | 0 | 0 | - | Unknown |
| Aegis Financial Advisory CRD: 137602 | - | 0 | 1 | - | Unknown |
| Aegis Financial Corporation CRD: 111587 | - | 0 | 2 | - | Unknown |
| Aegis Investments, Inc. CRD: 16033 | MN | 2 | 2 | B | Active |
| Aegis Specialist, LLC CRD: 46295 | - | 2 | 0 | B | INACTIVE |
| Aegis Wealth CRD: 134429 | - | 0 | 4 | - | Unknown |
| Aegis Wealth Advisors. LLC CRD: 136815 | - | 0 | 1 | - | Unknown |
| Aegis Wealth Management, Inc. CRD: 301990 | - | 0 | 29 | - | Unknown |
| Aegis Wealth Management, LLC CRD: 199511 | - | 0 | 2 | - | Unknown |
| Aegis Wealth Partners, LLC CRD: 171693 | - | 0 | 1 | - | Unknown |
| Aegon Asset Management UK PLC CRD: 289505 | - | 0 | 0 | - | Unknown |
| Aegon Asset Management US CRD: 114537 | - | 0 | 1 | - | Unknown |
| Aegon Real Assets US CRD: 286438 | - | 0 | 1 | - | Unknown |
| Aegon USA Securities Inc. CRD: 13302 | - | 0 | 0 | A | INACTIVE |
| AEI Securities, Inc. CRD: 6158 | MN | 4 | 2 | B | Active |
| Aeltus Capital, Inc CRD: 24928 | - | 2 | 0 | B | INACTIVE |
| AEM Asset Management, LLC CRD: 310360 | - | 0 | 3 | - | Unknown |
| Aeneas Capital LLC CRD: 297864 | - | 0 | 0 | A | INACTIVE |
| Aenigma Advisors LLC CRD: 162802 | - | 0 | 0 | A | INACTIVE |
| Aenigma Capital LLC CRD: 296989 | - | 0 | 0 | - | Unknown |
| Aeolian Advisors Corporation CRD: 167526 | - | 0 | 1 | - | Unknown |
| Aeolus Investment Advisers Ltd. CRD: 334592 | - | 0 | 0 | - | Unknown |
| Aeom Investments, LLC CRD: 331496 | - | 0 | 1 | - | Unknown |
| Aeon Advisors CRD: 173786 | - | 0 | 0 | - | Unknown |
| Aeon Capital Inc CRD: 164004 | - | 3 | 0 | C | INACTIVE |
| Aeon Capital LLC CRD: 307356 | - | 0 | 0 | - | Unknown |
| Aeon Capital Partners, LLC CRD: 308424 | - | 0 | 1 | - | Unknown |
| Aeon Funds LLC CRD: 298611 | - | 0 | 0 | - | Unknown |
| Aeon Global Asset Management LLC CRD: 310743 | - | 0 | 0 | - | Unknown |
| Aeon Investment, Inc. CRD: 10282 | - | 0 | 0 | A | INACTIVE |
| Aeon Investments CRD: 340007 | - | 0 | 0 | - | Unknown |
| Aeonea Limited CRD: 336367 | - | 0 | 0 | - | Unknown |
| Aeonian Capital, LLC CRD: 170646 | - | 0 | 1 | - | Unknown |
| Aepg Wealth Strategies CRD: 109859 | - | 0 | 0 | - | Unknown |
| Aequal Consulting CRD: 323532 | - | 0 | 1 | - | Unknown |
| Aequest Investment Corporation CRD: 15813 | - | 0 | 0 | A | INACTIVE |
| Aequim Alternative Investments LP CRD: 293127 | - | 0 | 1 | - | Unknown |
| Aequitas Derivatives Group, LLC CRD: 124656 | - | 0 | 0 | A | INACTIVE |
| Aequitas Equitas Wealth Management LLC CRD: 312693 | - | 0 | 1 | - | Unknown |
| Aequitas Financial, LLC CRD: 325830 | - | 0 | 1 | - | Unknown |
| Aequitas Investment Advisors, LLC CRD: 127625 | - | 0 | 3 | - | Unknown |