Broker-Dealer Firms
200 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 |
|---|---|---|---|---|---|
| OLD Mission Markets LLC CRD: 281867 | IL | 0 | 3 | A | Active |
| Optiver Execution Services LLC CRD: 316308 | IL | 0 | 3 | A | Active |
| Optiver US LLC CRD: 128030 | IL | 11 | 4 | D | Active |
| P & M Corporate Finance, LLC CRD: 129624 | IL | 0 | 4 | A | Active |
| Peakstone Securities, LLC CRD: 157146 | IL | 0 | 3 | A | Active |
| Performance Trust Capital Partners, LLC CRD: 36155 | IL | 8 | 51 | B | Active |
| Phillip Capital Inc. CRD: 173869 | IL | 6 | 2 | C | Active |
| PMA Securities, LLC CRD: 30397 | IL | 0 | 13 | A | Active |
| Prime Capital Markets, LLC CRD: 310298 | IL | 0 | 2 | A | Active |
| PTI Securities & Futures L. P. CRD: 29275 | IL | 5 | 2 | C | Active |
| Quincy Wells Capital, LLC CRD: 334163 | IL | 0 | 1 | A | Active |
| Rapid Execution Services, LLC CRD: 171853 | IL | 0 | 2 | A | Active |
| RCM Securities CRD: 15548 | IL | 5 | 2 | C | Active |
| Regal Securities, Inc. CRD: 7297 | IL | 15 | 11 | B | Active |
| Regiment Securities, LLC. CRD: 311302 | IL | 0 | 2 | A | Active |
| Republic Partners, LLC CRD: 281607 | IL | 0 | 2 | A | Active |
| Retirement Plan Advisors Services, LLC CRD: 111392 | IL | 1 | 3 | B | Active |
| Romano Brothers and Company CRD: 3215 | IL | 2 | 5 | B | Active |
| Rothschild Investment LLC CRD: 728 | IL | 17 | 6 | C | Active |
| SAN Blas Securities LLC CRD: 290605 | IL | 0 | 8 | A | Active |
| SF Investments, Inc. CRD: 6564 | IL | 4 | 2 | B | Active |
| Shannon Advisors LLC CRD: 150305 | IL | 0 | 3 | A | Active |
| Simplex Trading, LLC CRD: 153585 | IL | 4 | 2 | B | Active |
| Solic Capital LLC CRD: 158911 | IL | 0 | 4 | A | Active |
| Spiderrock EXS, LLC CRD: 148743 | IL | 3 | 3 | B | Active |
| Starshak Winzenburg & Co CRD: 26195 | IL | 1 | 2 | B | Active |
| State Farm VP Management Corp. CRD: 43036 | IL | 7 | 2,490 | B | Active |
| Stella Partners LLC CRD: 297977 | IL | 0 | 2 | A | Active |
| Sumo Capital, LLC CRD: 146310 | IL | 22 | 2 | D | Active |
| Tastytrade, Inc. CRD: 277027 | IL | 2 | 2 | B | Active |
| TD Financial Products LLC CRD: 154838 | IL | 0 | 4 | A | Active |
| Thoma Bravo Capital Markets, LLC CRD: 311317 | IL | 0 | 5 | A | Active |
| TJM Investments, LLC CRD: 46300 | IL | 12 | 7 | B | Active |
| Tradingblock CRD: 128605 | IL | 12 | 6 | B | Active |
| Triumph Capital Markets, LLC CRD: 327963 | IL | 0 | 2 | A | Active |
| TWG Securities, Inc. CRD: 143626 | IL | 0 | 2 | A | Active |
| Uhlmann Price Securities, LLC CRD: 42854 | IL | 0 | 4 | A | Active |
| Vanaheim Securities, LLC CRD: 319095 | IL | 0 | 1 | A | Active |
| Veles Securities CRD: 332495 | IL | 0 | 2 | A | Active |
| Verit Advisors Capital Markets LLC CRD: 170833 | IL | 0 | 2 | A | Active |
| Vestgen Securities CRD: 333860 | IL | 0 | 1 | A | Active |
| William Blair CRD: 1252 | IL | 31 | 303 | C | Active |
| Wolverine Execution Services, LLC CRD: 120719 | IL | 43 | 2 | F | Active |
| Wolverine Trading, LLC CRD: 36848 | IL | 63 | 3 | F | Active |
| World Equity Group, Inc. CRD: 29087 | IL | 12 | 72 | B | Active |
| X-Change Financial Access, LLC CRD: 126201 | IL | 33 | 2 | F | Active |
| Xidar Securities LLC CRD: 328928 | IL | 0 | 1 | A | Active |
| XMS Capital Partners, LLC CRD: 142871 | IL | 0 | 4 | A | Active |
| XR Securities LLC CRD: 145357 | IL | 6 | 1 | D | Active |
| ZIV Investment Company CRD: 4316 | IL | 6 | 4 | B | Active |
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