Broker-Dealer Firms
251 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 |
|---|---|---|---|---|---|
| Netrex Capital Markets, LLC CRD: 160529 | FL | 0 | 3 | A | Active |
| Newbridge Securities Corporation CRD: 104065 | FL | 37 | 34 | B | Active |
| Noble Capital Markets, Inc. CRD: 15768 | FL | 20 | 5 | C | Active |
| Nomad Investment Services CRD: 324105 | FL | 0 | 3 | A | Active |
| Northbound Securities LLC CRD: 314549 | FL | 0 | 1 | A | Active |
| Nova Capital Solutions, LLC CRD: 174636 | FL | 0 | 2 | A | Active |
| Nuorion Capital CRD: 315811 | FL | 0 | 2 | A | Active |
| Oakpoint Solutions, LLC CRD: 171775 | FL | 0 | 2 | A | Active |
| Oakwood Capital Securities, Inc. CRD: 21000 | FL | 1 | 31 | B | Active |
| Ocean Financial Services, LLC CRD: 164289 | FL | 0 | 4 | A | Active |
| OCP Capital, LLC CRD: 143381 | FL | 1 | 2 | B | Active |
| OLD Greenwich Partners, LLC CRD: 124718 | FL | 0 | 1 | A | Active |
| Onpeak Capital LLC CRD: 310173 | FL | 0 | 2 | A | Active |
| Pacific Financial Associates, Inc. CRD: 23772 | FL | 0 | 2 | A | Active |
| Pacific Investment Securities Corp. CRD: 16339 | FL | 1 | 2 | B | Active |
| Palafox Trading LLC CRD: 131114 | FL | 0 | 2 | A | Active |
| PAR5 Capital & Co LLC CRD: 134657 | FL | 0 | 3 | A | Active |
| PCE Investment Bankers, Inc. CRD: 45352 | FL | 0 | 6 | A | Active |
| Peak Brokerage Services, LLC CRD: 157045 | FL | 1 | 55 | B | Active |
| PEI Global Partners LLC CRD: 297979 | FL | 0 | 3 | A | Active |
| Perigee Securities LP CRD: 123210 | FL | 0 | 2 | A | Active |
| Perkins Fund Marketing, L.L.C. CRD: 45642 | FL | 1 | 3 | B | Active |
| PHCP, LLC CRD: 300729 | FL | 0 | 2 | A | Active |
| PLP Capital CRD: 38901 | FL | 2 | 2 | B | Active |
| Plural Brokerage LLC CRD: 312549 | FL | 0 | 2 | A | Active |
| POD Securities CRD: 337460 | FL | 0 | 1 | A | Active |
| Portfolio Resources Group, Inc. CRD: 31155 | FL | 4 | 2 | B | Active |
| Prevail Capital LLC CRD: 141322 | FL | 0 | 2 | A | Active |
| Prival Securities USA, Inc. CRD: 337499 | FL | 0 | 1 | A | Active |
| Prometheus Financial, LLC CRD: 313712 | FL | 0 | 2 | A | Active |
| Propel Advisory Group, Inc. CRD: 164996 | FL | 0 | 2 | A | Active |
| PWA Securities, LLC CRD: 321974 | FL | 0 | 8 | A | Active |
| Quantriver Financial, LLC CRD: 153906 | FL | 1 | 2 | B | Active |
| R.M. Stark & Co., Inc. CRD: 7612 | FL | 4 | 6 | B | Active |
| Rainmaker Securities, LLC CRD: 132995 | FL | 5 | 7 | B | Active |
| Raymond James & Associates, Inc. CRD: 705 | FL | 253 | 3,107 | C | Active |
| Raymond James Financial Services, Inc. CRD: 6694 | FL | 204 | 3,736 | B | Active |
| Regional Investment Services, Inc. CRD: 46929 | FL | 1 | 2 | B | Active |
| Rialto Markets LLC CRD: 283477 | FL | 1 | 2 | B | Active |
| Rise Financial Services, LLC CRD: 146103 | FL | 0 | 3 | A | Active |
| Robinhood Financial, LLC CRD: 165998 | FL | 65 | 29 | D | Active |
| Robinhood Securities, LLC CRD: 287900 | FL | 5 | 14 | C | Active |
| Rockfleet Financial Services, Inc CRD: 149325 | FL | 1 | 4 | B | Active |
| Rockland Securities, LLC CRD: 127855 | FL | 0 | 2 | A | Active |
| S2K Financial LLC CRD: 248786 | FL | 0 | 3 | A | Active |
| Sabadell Securities USA, Inc. CRD: 148137 | FL | 0 | 2 | A | Active |
| Sanctuary Securities, Inc. CRD: 205 | FL | 30 | 88 | C | Active |
| Saturn Capital, Inc. CRD: 15412 | FL | 0 | 2 | A | Active |
| Schlitt Investor Services, Inc. CRD: 16071 | FL | 1 | 2 | B | Active |
| Seabrook Partners LLC CRD: 156581 | FL | 0 | 2 | A | Active |