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 |
|---|---|---|---|---|---|
| Delphin Investments CRD: 149126 | - | 0 | 2 | - | Unknown |
| Delphina Capital, L.L.C. CRD: 45731 | - | 0 | 0 | A | INACTIVE |
| Delphinus Financial Advisors, LLC CRD: 152952 | - | 0 | 2 | - | Unknown |
| Delphos MMJ L.P. CRD: 137389 | NY | 1 | 2 | B | Active |
| Delphx Services Corporation CRD: 141368 | NY | 0 | 2 | A | Active |
| Delta & Gamma Capital Management LLC CRD: 282317 | - | 0 | 1 | - | Unknown |
| Delta Accumulation, LLC CRD: 286434 | - | 0 | 3 | - | Unknown |
| Delta Advisors Limited CRD: 163423 | - | 0 | 0 | - | Unknown |
| Delta Advisory Group, Inc. CRD: 105966 | - | 0 | 1 | - | Unknown |
| Delta Asset Management Company, LLC CRD: 39923 | - | 8 | 0 | D | INACTIVE |
| Delta Asset Management, LLC CRD: 113688 | - | 0 | 1 | - | Unknown |
| Delta Associates Inc CRD: 106232 | - | 0 | 0 | - | Unknown |
| Delta Beta Advisors, LLC CRD: 285829 | - | 0 | 0 | - | Unknown |
| Delta Blockchain Management LLC CRD: 318521 | - | 0 | 1 | - | Unknown |
| Delta Capital CRD: 338957 | - | 0 | 0 | - | Unknown |
| Delta Capital Corporation CRD: 14107 | - | 0 | 0 | A | INACTIVE |
| Delta Capital Investments, LLC CRD: 134419 | - | 0 | 0 | - | Unknown |
| Delta Capital Investments, LLC CRD: 316458 | - | 0 | 2 | - | Unknown |
| Delta Capital Management CRD: 340693 | - | 0 | 1 | - | Unknown |
| Delta Capital Management LLC CRD: 106248 | - | 0 | 1 | - | Unknown |
| Delta Capital Management, Inc. CRD: 164736 | - | 0 | 2 | - | Unknown |
| Delta Capital Management, LLC CRD: 128350 | - | 0 | 1 | - | Unknown |
| Delta Capital Partners Management LLC CRD: 305545 | - | 0 | 0 | - | Unknown |
| Delta Capital Securities Corporation CRD: 36367 | - | 1 | 0 | B | INACTIVE |
| Delta Dividend Group, Inc. CRD: 32266 | - | 0 | 0 | A | INACTIVE |
| Delta Emerald Ventures Advisors LLC CRD: 334183 | - | 0 | 1 | - | Unknown |
| Delta Financial Advisors, Inc CRD: 121907 | - | 0 | 1 | - | Unknown |
| Delta Financial Advisors, Inc. CRD: 306970 | - | 0 | 0 | - | Unknown |
| Delta Financial Advisors, L.L.C. CRD: 122092 | - | 0 | 1 | - | Unknown |
| Delta Financial Advisory CRD: 330238 | - | 0 | 1 | - | Unknown |
| Delta Financial Group, Inc. CRD: 107399 | - | 0 | 0 | - | Unknown |
| Delta Financial Group, Ltd. CRD: 112936 | - | 0 | 0 | - | Unknown |
| Delta Financial Investment Corporation CRD: 14391 | - | 0 | 0 | A | INACTIVE |
| Delta Financial, Inc. CRD: 339663 | - | 0 | 1 | - | Unknown |
| Delta Global CRD: 327142 | - | 0 | 1 | - | Unknown |
| Delta Hedge Financial CRD: 300035 | - | 0 | 1 | - | Unknown |
| Delta Investment Management, LLC CRD: 149596 | - | 0 | 26 | - | Unknown |
| Delta Investment Securities Corporation CRD: 15625 | - | 0 | 0 | A | INACTIVE |
| Delta Life Securities, Inc. CRD: 16926 | - | 1 | 0 | B | INACTIVE |
| Delta Partners, LP CRD: 114681 | - | 0 | 0 | - | Unknown |
| Delta Securities Company LLC CRD: 145511 | - | 1 | 0 | B | INACTIVE |
| Delta Securities Company, LLC CRD: 130577 | - | 0 | 0 | A | INACTIVE |
| Delta Trading, L.L.C CRD: 42375 | - | 0 | 0 | A | INACTIVE |
| Delta Wealth Advisors LLC CRD: 310504 | - | 0 | 1 | - | Unknown |
| Delta Wealth Management CRD: 111368 | - | 0 | 2 | - | Unknown |
| Delta Wealth Management, LLC CRD: 281691 | - | 0 | 4 | - | Unknown |
| Delta Wealth Solutions, LLC CRD: 306199 | - | 0 | 1 | - | Unknown |
| Delta-V Capital, LLC CRD: 161800 | - | 0 | 2 | - | Unknown |
| Deltaone Capital Management, LLC CRD: 288131 | - | 0 | 0 | - | Unknown |
| Deltasys Advisors LLC CRD: 340585 | - | 0 | 2 | - | Unknown |