Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| 3B1 PARTNERS, LLC CRD: 300835 | — | 0 | 0 | A | Unknown |
| 3D HOLISTIC WEALTH CRD: 331809 | — | 0 | 0 | A | Unknown |
| 3D INVESTMENT PARTNERS PTE. LTD. CRD: 282411 | — | 0 | 0 | A | Unknown |
| 3D WEALTH ADVISORS, INC. CRD: 144765 | — | 0 | 0 | A | Unknown |
| 3D WEALTH RIA, LLC CRD: 289081 | — | 0 | 0 | A | Unknown |
| 3G CAPITAL LLC CRD: 298280 | — | 0 | 0 | A | Unknown |
| 3G FINANCIAL CRD: 317740 | IL | 0 | 1 | A | Active |
| 3I CORPORATION CRD: 159892 | — | 0 | 0 | A | Unknown |
| 3I INVESTMENTS PLC CRD: 159880 | — | 0 | 0 | A | Unknown |
| 3I MANAGEMENT LLC CRD: 327514 | — | 0 | 0 | A | Unknown |
| 3ICO SECURITIES LLC CRD: 173648 | PA | 0 | 1 | A | Active |
| 3IQ DIGITAL ASSETS (US) INC. CRD: 339627 | — | 0 | 0 | A | Unknown |
| 3J CAPITAL CRD: 292257 | — | 0 | 0 | A | Unknown |
| 3LINES, LLC CRD: 305835 | — | 0 | 0 | A | Unknown |
| 3RD CREEK INVESTMENTS CRD: 115945 | — | 0 | 0 | A | Unknown |
| 3RD LEVEL WEALTH CRD: 315849 | — | 0 | 0 | A | Unknown |
| 3RODEO PARTNERS, LLC CRD: 296963 | — | 0 | 0 | A | Unknown |
| 3SPOKE MANAGEMENT, LLC CRD: 308919 | — | 0 | 0 | A | Unknown |
| 3TECH MANAGEMENT LLC CRD: 334346 | — | 0 | 0 | A | Unknown |
| 3W FUND MANAGEMENT LLC CRD: 173723 | — | 0 | 0 | A | Unknown |
| 3WIRE ADVISORY LLC CRD: 325241 | DC | 0 | 1 | A | Active |
| 3WIRE INVESTMENT CRD: 333234 | — | 0 | 0 | A | Unknown |
| 4 MI YODEA LTD CRD: 318926 | — | 0 | 0 | A | Unknown |
| 4 STAR ADVISORY SERVICES LLC CRD: 306362 | — | 0 | 0 | A | Unknown |
| 4 YOUR CORP CRD: 310704 | — | 0 | 0 | A | Unknown |
| 4-3-3 CAPITAL LLC CRD: 337388 | — | 0 | 0 | A | Unknown |
| 40 NORTH WEALTH LLC CRD: 335505 | — | 0 | 0 | A | Unknown |
| 401 FINANCIAL CRD: 321902 | — | 0 | 0 | A | Unknown |
| 401K ADVISORY GROUP, INC. CRD: 152290 | — | 0 | 0 | A | Unknown |
| 401K GPS CRD: 169877 | — | 0 | 0 | A | Unknown |
| 401K TUNE-UP CRD: 161376 | — | 0 | 0 | A | Unknown |
| 401KLUB ADVISORS, LLC CRD: 325464 | — | 0 | 0 | A | Unknown |
| 402 CAPITAL LLC CRD: 163384 | — | 0 | 0 | A | Unknown |
| 402 FINANCIAL CRD: 331726 | — | 0 | 0 | A | Unknown |
| 406 FINANCIAL CRD: 297888 | — | 0 | 0 | A | Unknown |
| 406 PM CRD: 339835 | — | 0 | 0 | A | Unknown |
| 414 INVESTMENTS LLC CRD: 315483 | — | 0 | 0 | A | Unknown |
| 4170 SECURITIES LLC CRD: 326718 | IL | 0 | 1 | A | Active |
| 424 CAPITAL, LLC CRD: 167462 | — | 0 | 0 | A | Unknown |
| 425 MASON GP, LLC CRD: 306922 | — | 0 | 0 | A | Unknown |
| 43 MANAGEMENT LLC CRD: 314953 | — | 0 | 0 | A | Unknown |
| 44 NORTH CAPITAL, LLC CRD: 327552 | — | 0 | 0 | A | Unknown |
| 44 SECURITIES, INC. CRD: 8223 | — | 0 | 0 | A | INACTIVE |
| 44 SECURITIES, LTD CRD: 15139 | — | 0 | 0 | A | INACTIVE |
| 4490 VENTURES CRD: 174389 | — | 0 | 0 | A | Unknown |
| 45 CAPITAL MANAGEMENT CRD: 285385 | — | 0 | 0 | A | Unknown |
| 45NORTH PARTNERS CRD: 304921 | — | 0 | 0 | A | Unknown |
| 46 EAST, LLC CRD: 47357 | — | 0 | 0 | A | INACTIVE |
| 46 NORTH FINANCIAL CRD: 338325 | — | 0 | 0 | A | Unknown |
| 4612 GROUP, LLC CRD: 287619 | — | 0 | 0 | A | Unknown |