Broker-Dealer Firms
279 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 |
|---|---|---|---|---|---|
| Karmeq, LLC CRD: 300796 | CA | 0 | 2 | A | Active |
| Kayan Securities, Inc. CRD: 156175 | CA | 1 | 3 | B | Active |
| KBS Capital Markets Group LLC CRD: 132299 | CA | 0 | 2 | A | Active |
| Kema Partners LLC CRD: 143752 | CA | 0 | 8 | A | Active |
| Keystone Capital Markets CRD: 288767 | CA | 0 | 3 | A | Active |
| Kinecta Financial & Insurance Services CRD: 136597 | CA | 0 | 2 | A | Active |
| Kingswood Capital Partners, LLC CRD: 288898 | CA | 1 | 77 | B | Active |
| Kipling Capital, Inc. CRD: 41196 | CA | 0 | 3 | A | Active |
| Korefusion Capital LLC CRD: 311889 | CA | 0 | 2 | A | Active |
| LA Honda Advisors LLC CRD: 165045 | CA | 0 | 2 | A | Active |
| Lighthouse Capital Group, LLC CRD: 169135 | CA | 1 | 3 | B | Active |
| LYNX Capital, LLC CRD: 137178 | CA | 0 | 2 | A | Active |
| Maccabees Securities LLC CRD: 340041 | CA | 0 | 2 | A | Active |
| Madison Capital Markets LLC CRD: 332196 | CA | 0 | 2 | A | Active |
| Mainspring Capital Management, LLC CRD: 168756 | CA | 0 | 2 | A | Active |
| Marble TWO Capital, LLC CRD: 170268 | CA | 0 | 2 | A | Active |
| Matthews South, LLC CRD: 283409 | CA | 0 | 2 | A | Active |
| Mcclurg Capital Corporation CRD: 16798 | CA | 0 | 6 | A | Active |
| Mcmorgan & Company Capital Advisors LLC CRD: 137222 | CA | 0 | 4 | A | Active |
| Mischler Financial Group, Inc. CRD: 37818 | CA | 6 | 10 | B | Active |
| MIT Associates, LLC CRD: 121171 | CA | 0 | 3 | A | Active |
| MJ Capital Partners, LLC CRD: 150938 | CA | 0 | 3 | A | Active |
| Montminy Securities, LLC CRD: 158368 | CA | 0 | 2 | A | Active |
| Moorgate Securities LLC CRD: 151734 | CA | 0 | 4 | A | Active |
| MSA Securities, LLC CRD: 150557 | CA | 1 | 2 | B | Active |
| Mutual Securities, Inc. CRD: 13092 | CA | 10 | 79 | B | Active |
| NEW Century Capital Partners, Inc. CRD: 147071 | CA | 0 | 2 | A | Active |
| NHN Nexus Partners, LLC CRD: 336594 | CA | 0 | 2 | A | Active |
| NI Advisors CRD: 134502 | CA | 1 | 17 | B | Active |
| North Point Mergers and Acquisitions, Inc. CRD: 133300 | CA | 0 | 4 | A | Active |
| OAK Tree Securities, Inc. CRD: 18126 | CA | 2 | 10 | B | Active |
| OCM Investments, LLC CRD: 128803 | CA | 0 | 4 | A | Active |
| Pacific Point Securities, LLC CRD: 150272 | CA | 0 | 2 | A | Active |
| Pacific Select Distributors, LLC CRD: 4452 | CA | 0 | 5 | A | Active |
| Palm Tree Securities LLC CRD: 307831 | CA | 0 | 2 | A | Active |
| Partnership Capital Growth, LLC CRD: 140385 | CA | 0 | 2 | A | Active |
| Passco Capital, Inc. CRD: 117323 | CA | 0 | 2 | A | Active |
| Payden & Rygel Distributors CRD: 29868 | CA | 0 | 2 | A | Active |
| Pendulum Securities, LLC CRD: 312642 | CA | 0 | 2 | A | Active |
| Penserra Securities, LLC CRD: 145994 | CA | 2 | 4 | B | Active |
| Pfal Securities, Inc. CRD: 324510 | CA | 0 | 2 | A | Active |
| PGP Capital Advisors, LLC CRD: 128797 | CA | 0 | 2 | A | Active |
| Pinnacle Capital Securities, LLC CRD: 106213 | CA | 0 | 2 | A | Active |
| Plan B Investments, Inc. CRD: 136162 | CA | 0 | 3 | A | Active |
| Planmember Securities Corporation CRD: 11869 | CA | 5 | 303 | B | Active |
| Plus Venture Partners, LLC CRD: 299033 | CA | 0 | 2 | A | Active |
| Port Securities, Inc. CRD: 43936 | CA | 1 | 2 | B | Active |
| Private Portfolio, Inc. CRD: 36644 | CA | 1 | 9 | B | Active |
| Probitas Funds Group, LLC CRD: 115876 | CA | 0 | 3 | A | Active |
| Pullman Securities, LLC CRD: 45923 | CA | 0 | 2 | A | Active |