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 |
|---|---|---|---|---|---|
| DC Capital Partners Management, L.P. CRD: 283131 | - | 0 | 1 | - | Unknown |
| DC Funding Partners LLC CRD: 127379 | - | 0 | 0 | - | Unknown |
| DC Global Ventures CRD: 293073 | - | 0 | 1 | - | Unknown |
| DC Trading Partners L.L.C. CRD: 134113 | - | 0 | 0 | A | INACTIVE |
| DCA Advisory, LLC CRD: 316832 | - | 0 | 1 | - | Unknown |
| DCA Family Office, LLC CRD: 322047 | - | 0 | 3 | - | Unknown |
| DCA Investment Advisory, LLC CRD: 147882 | - | 0 | 1 | - | Unknown |
| DCA Management Company, Inc. CRD: 165633 | - | 0 | 1 | - | Unknown |
| Dcapital Wealth LLC CRD: 331889 | - | 0 | 2 | - | Unknown |
| DCC Securities Corp. CRD: 27172 | - | 2 | 0 | B | INACTIVE |
| DCF, LLC CRD: 149102 | TN | 0 | 7 | A | Active |
| DCG Capital CRD: 317747 | - | 0 | 1 | - | Unknown |
| DCG Wealth Management CRD: 310957 | - | 0 | 1 | - | Unknown |
| Dchained Capital, LLC CRD: 315308 | - | 0 | 1 | - | Unknown |
| Dchained, LLC CRD: 315274 | - | 0 | 0 | - | Unknown |
| DCI Fund GP LLC CRD: 340353 | - | 0 | 1 | - | Unknown |
| DCJ Global Wealth Management CRD: 148398 | - | 0 | 2 | - | Unknown |
| DCM CRD: 160285 | - | 0 | 1 | - | Unknown |
| DCM Advisors, LLC CRD: 126248 | - | 0 | 2 | - | Unknown |
| DCM Brokers, LLC CRD: 144158 | IL | 0 | 2 | A | Active |
| DCM Investments and Wealth Management LLC CRD: 300758 | - | 0 | 0 | - | Unknown |
| DCMB Securities LLC CRD: 146578 | TX | 0 | 2 | A | Active |
| DCO Capital Management LLC CRD: 142637 | - | 0 | 1 | - | Unknown |
| Dcode Capital Management LLC CRD: 329590 | - | 0 | 1 | - | Unknown |
| DCP CRD: 292773 | - | 0 | 0 | - | Unknown |
| DCVC CRD: 167441 | - | 0 | 1 | - | Unknown |
| DCVC BIO CRD: 297640 | - | 0 | 1 | - | Unknown |
| DD Ecosystem MC, LLC CRD: 342771 | - | 0 | 1 | - | Unknown |
| Ddelta Real Estate Investments CRD: 326662 | - | 0 | 2 | - | Unknown |
| DDO Advisory Services, LLC CRD: 154944 | - | 0 | 1 | - | Unknown |
| DDR Advisors LLC CRD: 319272 | - | 0 | 1 | - | Unknown |
| DDS Investment Management, Inc. CRD: 115503 | - | 0 | 1 | - | Unknown |
| DE Anza Securities, Inc. CRD: 7335 | - | 0 | 0 | A | INACTIVE |
| DE Cesare Retirement Specialists CRD: 121458 | - | 0 | 3 | - | Unknown |
| DE Groote Financial Group, LLC CRD: 168178 | - | 0 | 2 | - | Unknown |
| DE Guardiola Advisors, LLC CRD: 104146 | - | 0 | 0 | A | INACTIVE |
| DE LA Motte Investment Services CRD: 132540 | - | 0 | 0 | - | Unknown |
| DE Laureal, Munroe Securities Corporation CRD: 7276 | - | 0 | 0 | A | INACTIVE |
| DE Luca, Michael CRD: 172950 | - | 0 | 0 | - | Unknown |
| DE Luchi Investment Management CRD: 125899 | - | 0 | 1 | - | Unknown |
| DE Luna Partners, Inc. CRD: 138321 | - | 0 | 0 | - | Unknown |
| DE Mayo Financial CRD: 107082 | - | 0 | 1 | - | Unknown |
| DE Novo Capital LLC CRD: 282458 | - | 0 | 1 | - | Unknown |
| DE Novo Ventures, LLC CRD: 162664 | - | 0 | 0 | - | Unknown |
| DE Paola Trading, Inc. CRD: 143625 | - | 6 | 0 | D | INACTIVE |
| DE Rosa Asset Management, LLC CRD: 332191 | - | 0 | 2 | - | Unknown |
| DE Route CRD: 135981 | - | 8 | 0 | D | INACTIVE |
| DE Securities Corporation CRD: 10423 | - | 0 | 0 | A | INACTIVE |
| DE Trading, LLC CRD: 104338 | - | 0 | 0 | A | INACTIVE |
| DE Vries Asset Management, LLC CRD: 341027 | - | 0 | 2 | - | Unknown |