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 |
|---|---|---|---|---|---|
| Deltaterra Investments LLC CRD: 341472 | - | 0 | 1 | - | Unknown |
| Deltavest Financial CRD: 18013 | - | 0 | 0 | A | INACTIVE |
| Deltec Asset Management Corporation CRD: 8438 | - | 2 | 0 | B | INACTIVE |
| Deltec Asset Management LLC CRD: 104068 | - | 0 | 2 | A | INACTIVE |
| Deltec Investment Advisers Limited CRD: 167124 | - | 0 | 0 | - | Unknown |
| Deltroit Asset Management (UK) LLP CRD: 334286 | - | 0 | 0 | - | Unknown |
| Deltroit Asset Management (US) LLC CRD: 334438 | - | 0 | 1 | - | Unknown |
| Deluca Financial Planning CRD: 340286 | - | 0 | 2 | - | Unknown |
| Deluise, Janice Mary CRD: 30329 | - | 0 | 0 | A | INACTIVE |
| Delvaux Wealth Management CRD: 336199 | - | 0 | 1 | - | Unknown |
| Demand Signal Asset Management, LLC CRD: 329957 | - | 0 | 1 | - | Unknown |
| Demand Wealth CRD: 307043 | - | 0 | 3 | - | Unknown |
| Demar Financial Planning Services,Ltd. CRD: 122872 | - | 0 | 0 | - | Unknown |
| Demarche CRD: 105500 | - | 0 | 3 | - | Unknown |
| Demarche CRD: 145851 | - | 0 | 1 | - | Unknown |
| Demars Financial Group LLC CRD: 116257 | - | 0 | 1 | - | Unknown |
| Dematteo Research LLC CRD: 43741 | NY | 3 | 2 | B | Active |
| Demauriac LLC CRD: 306542 | - | 0 | 1 | - | Unknown |
| Dembo Jones, P.C CRD: 121763 | - | 0 | 0 | - | Unknown |
| Demby Investment Advisory, L.L.C. CRD: 135056 | - | 0 | 0 | - | Unknown |
| Demco Partners, Inc. CRD: 46312 | - | 0 | 0 | A | INACTIVE |
| Demers Financial Planning CRD: 148752 | - | 0 | 1 | - | Unknown |
| Demers Financial Planning CRD: 106702 | - | 0 | 1 | - | Unknown |
| Demesne Investments CRD: 305671 | - | 0 | 1 | - | Unknown |
| Demeter Advisory Group, LLC CRD: 147602 | FL | 0 | 2 | A | Active |
| Demeter Tactical Investments Corp. CRD: 329512 | - | 0 | 3 | - | Unknown |
| Demian Capital CRD: 288137 | - | 0 | 1 | - | Unknown |
| Deming, Daniel J CRD: 34595 | - | 0 | 0 | A | INACTIVE |
| Demland Wealth LLC CRD: 319002 | - | 0 | 1 | - | Unknown |
| Demma-Novak Wealth Management CRD: 172311 | - | 0 | 1 | - | Unknown |
| Demming Financial Services Corp. CRD: 120106 | - | 0 | 3 | - | Unknown |
| Democracy Funding LLC CRD: 122804 | - | 1 | 0 | B | INACTIVE |
| Democracy Investment Management LLC CRD: 312074 | - | 0 | 0 | - | Unknown |
| Democratize Wealth CRD: 341050 | - | 0 | 1 | - | Unknown |
| Demopolis Capital Inc. CRD: 14234 | - | 2 | 0 | B | INACTIVE |
| Demopolis Equity Management, LLC CRD: 326367 | - | 0 | 1 | - | Unknown |
| Dempsey Financial Network, Inc. CRD: 38330 | - | 0 | 0 | A | INACTIVE |
| Dempsey Financial Services, Incorporated CRD: 116583 | - | 0 | 0 | - | Unknown |
| Dempsey Hill Capital PTE Ltd CRD: 166191 | - | 0 | 0 | - | Unknown |
| Dempsey Investment Management, LLC CRD: 134667 | - | 0 | 0 | - | Unknown |
| Dempsey Lord Smith, LLC CRD: 141238 | - | 6 | 0 | D | INACTIVE |
| Dempsey-Blair, L.L.C. CRD: 45751 | - | 0 | 0 | A | INACTIVE |
| Demuth & Kaufman Professional Management Consultan… CRD: 121961 | - | 0 | 0 | - | Unknown |
| DEN Norske Bank Securities, Inc. CRD: 37647 | - | 0 | 0 | A | INACTIVE |
| Denali Advisors, LLC CRD: 110242 | - | 0 | 1 | - | Unknown |
| Denali Capital Management LLC CRD: 127794 | - | 0 | 0 | - | Unknown |
| Denali Financial Group, LLC CRD: 332383 | - | 0 | 1 | - | Unknown |
| Denali Growth Partners CRD: 312887 | - | 0 | 1 | - | Unknown |
| Denali Securities Inc. CRD: 15016 | - | 0 | 0 | A | INACTIVE |
| Denali Wealth Management Advisors, LLC CRD: 173586 | - | 0 | 0 | - | Unknown |