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 |
|---|---|---|---|---|---|
| DBA Donohue Fiducial Co. CRD: 129445 | - | 0 | 0 | - | Unknown |
| DBA Farmstead Investment Management CRD: 125900 | - | 0 | 1 | - | Unknown |
| DBA FEE Only Financial Planning, Inc. CRD: 114618 | - | 0 | 1 | - | Unknown |
| DBA Generational Wealth Strategies CRD: 111203 | - | 0 | 3 | - | Unknown |
| DBA JC Investment Management CRD: 133900 | - | 0 | 0 | - | Unknown |
| DBA Joseph Fodera CRD: 136244 | - | 0 | 1 | - | Unknown |
| DBA LTS Capital Advisors CRD: 318794 | - | 0 | 1 | - | Unknown |
| DBA Miller & Co. CRD: 118654 | - | 0 | 0 | - | Unknown |
| DBA Olson Associates CRD: 125719 | - | 0 | 2 | - | Unknown |
| DBA Payne Financial Consulting CRD: 113243 | - | 0 | 0 | - | Unknown |
| DBA Seaside Financial & Insurance Services CRD: 289985 | - | 0 | 3 | - | Unknown |
| DBA Stein Investment Services CRD: 112135 | - | 0 | 1 | - | Unknown |
| DBA Stone Wealth Management CRD: 132202 | - | 0 | 0 | - | Unknown |
| DBA Tana Investment Advisors CRD: 144392 | - | 0 | 1 | - | Unknown |
| DBA Texas Housing Conservancy CRD: 316786 | - | 0 | 1 | - | Unknown |
| DBA the Delta Company CRD: 120187 | - | 1 | 0 | B | INACTIVE |
| DBA Upal or United Professionals Assoc. Ltd. CRD: 117509 | - | 0 | 2 | - | Unknown |
| DBA, Cornerstone Investment Counsel CRD: 111375 | - | 0 | 2 | - | Unknown |
| DBA, Lefevre Capital Management CRD: 287874 | - | 0 | 1 | - | Unknown |
| DBA, Mullen Advisory CRD: 109646 | - | 0 | 0 | - | Unknown |
| DBA/ Austin Fixed Income Consulting and Investment… CRD: 309016 | - | 0 | 0 | - | Unknown |
| DBA/Rankin Capital Investment Management CRD: 116919 | - | 0 | 1 | - | Unknown |
| Dbafc, L.L.C. CRD: 310088 | - | 0 | 1 | - | Unknown |
| Dbay Advisors Limited CRD: 172833 | - | 0 | 0 | - | Unknown |
| DBC Securities, Inc. CRD: 30894 | - | 2 | 0 | B | INACTIVE |
| DBD Retirement and Financial Services CRD: 328239 | - | 0 | 1 | - | Unknown |
| DBF GP, LLC CRD: 167011 | - | 0 | 0 | - | Unknown |
| DBF GP, LLC CRD: 339282 | - | 0 | 1 | - | Unknown |
| DBG Capital Advisors, LLC CRD: 147504 | - | 0 | 1 | - | Unknown |
| Dbia, LLC. CRD: 125659 | - | 0 | 3 | - | Unknown |
| DBK Financial Counsel, LLC CRD: 170688 | - | 0 | 1 | - | Unknown |
| DBL Investors, LLC CRD: 144878 | - | 0 | 0 | - | Unknown |
| DBL Partners CRD: 174991 | - | 0 | 1 | - | Unknown |
| DBLKM Inc. CRD: 2450 | - | 0 | 0 | A | INACTIVE |
| DBM Advisors, LLC CRD: 293138 | - | 0 | 2 | - | Unknown |
| DBM Planning, LLC CRD: 328758 | - | 0 | 1 | - | Unknown |
| DBN Wealth Management, LLC CRD: 127737 | - | 0 | 0 | - | Unknown |
| DBO Advisors LLC CRD: 170767 | - | 0 | 0 | - | Unknown |
| DBO Partners LLC CRD: 158951 | - | 0 | 0 | A | INACTIVE |
| DBS Investment Advisers, LLC CRD: 123283 | - | 0 | 4 | - | Unknown |
| DBS Partners LP CRD: 34012 | - | 0 | 0 | A | INACTIVE |
| DBS Vickers Securities (USA) Inc. CRD: 35691 | NY | 1 | 2 | B | Active |
| Dbsi Securities Corporation CRD: 11687 | - | 2 | 0 | B | INACTIVE |
| DBX Advisors LLC CRD: 154558 | - | 0 | 1 | - | Unknown |
| DBX Strategic Advisors LLC CRD: 141392 | - | 0 | 0 | - | Unknown |
| DBZ Research LLC CRD: 315011 | - | 0 | 0 | - | Unknown |
| DC & Associates CRD: 328815 | - | 0 | 1 | - | Unknown |
| DC (India) Advisors LLP CRD: 309191 | - | 0 | 0 | - | Unknown |
| DC Advisory CRD: 129919 | NY | 0 | 5 | A | Active |
| DC Capital Management, LLC CRD: 142841 | - | 0 | 1 | - | Unknown |