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 |
|---|---|---|---|---|---|
| Aequus Equities, Inc. CRD: 20510 | - | 0 | 0 | A | INACTIVE |
| AER Investments Inc CRD: 11822 | - | 0 | 0 | A | INACTIVE |
| Aerden LLC CRD: 339595 | - | 0 | 1 | - | Unknown |
| Aeref Management, LLC CRD: 322495 | - | 0 | 1 | - | Unknown |
| Aerie Advisory Group LLC CRD: 333610 | - | 0 | 1 | - | Unknown |
| Aerie Capital Management CRD: 126518 | - | 0 | 1 | - | Unknown |
| Aerie View LLC CRD: 173679 | - | 0 | 0 | - | Unknown |
| Aeris Partners LLC CRD: 153862 | MA | 0 | 3 | A | Active |
| Aermont Capital LLP CRD: 163201 | - | 0 | 0 | - | Unknown |
| Aermont Capital Management S.A R.L. CRD: 299262 | - | 0 | 0 | - | Unknown |
| Aermont Capital SAS CRD: 299260 | - | 0 | 0 | - | Unknown |
| Aermont Italy S.R.L. CRD: 339927 | - | 0 | 0 | - | Unknown |
| Aerodigm Wealth LLC CRD: 282312 | - | 0 | 4 | - | Unknown |
| Aerostar Securities Corporation CRD: 21646 | - | 0 | 0 | A | INACTIVE |
| AES Infrastructure Advisors LLC CRD: 300570 | - | 0 | 0 | - | Unknown |
| AES Triplex CRD: 341179 | - | 0 | 1 | - | Unknown |
| Aesculus Capital LLC CRD: 328447 | - | 0 | 1 | - | Unknown |
| Aesion LLC CRD: 282375 | - | 0 | 0 | - | Unknown |
| Aesir Securities, Inc. CRD: 18258 | - | 0 | 0 | A | INACTIVE |
| Aesop Advisor, LLC CRD: 301160 | - | 0 | 1 | - | Unknown |
| Aesop Brokerage Services, Inc. CRD: 31279 | - | 0 | 0 | A | INACTIVE |
| Aestus Capital CRD: 321068 | - | 0 | 1 | - | Unknown |
| AET Investment Services, LLC CRD: 40878 | - | 0 | 0 | A | INACTIVE |
| Aetas Advisors, LLC CRD: 151575 | - | 0 | 0 | - | Unknown |
| Aetas Global Management LLC CRD: 323100 | - | 0 | 0 | - | Unknown |
| Aeternium Capital Management, L.L.C. CRD: 172722 | - | 0 | 0 | - | Unknown |
| Aeternum Advisors CRD: 285331 | - | 0 | 2 | - | Unknown |
| Aethel Capital Management CRD: 306697 | - | 0 | 1 | - | Unknown |
| Aetherion LLC CRD: 340660 | - | 0 | 1 | - | Unknown |
| Aetheris Diversified Inc. CRD: 335339 | - | 0 | 1 | - | Unknown |
| Aethlon Capital, L.L.C CRD: 42241 | MN | 1 | 2 | B | Active |
| Aethon Energy Management CRD: 173136 | - | 0 | 1 | - | Unknown |
| Aetna Asset Advisors, LLC CRD: 161282 | - | 0 | 1 | - | Unknown |
| Aetna Life Insurance and Annuity Company CRD: 13256 | - | 2 | 0 | B | INACTIVE |
| Aetolia Capital LLC CRD: 288624 | - | 0 | 1 | - | Unknown |
| Aetos Alternatives Management CRD: 116761 | - | 0 | 1 | - | Unknown |
| Aetos Capital Real Estate CRD: 156128 | - | 0 | 1 | - | Unknown |
| Aevf GP LP CRD: 335652 | - | 0 | 0 | - | Unknown |
| Aevitas Wealth Management, Inc. CRD: 143873 | - | 0 | 0 | - | Unknown |
| AEW Capital Management LP CRD: 108633 | - | 0 | 2 | - | Unknown |
| AEW Europe LLP CRD: 160878 | - | 0 | 0 | - | Unknown |
| AF Brokerage, Inc. CRD: 46756 | - | 0 | 0 | A | INACTIVE |
| AF Capital Management, LLC CRD: 152225 | - | 0 | 1 | - | Unknown |
| AF Series, LLC CRD: 316383 | - | 0 | 1 | - | Unknown |
| AF Ventures CRD: 299338 | - | 0 | 1 | - | Unknown |
| AFA Advisors LLC CRD: 105454 | - | 0 | 2 | - | Unknown |
| AFA Financial Group, LLC CRD: 127648 | - | 1 | 0 | B | INACTIVE |
| AFA Fund Management, LLC CRD: 342328 | - | 0 | 1 | - | Unknown |
| Afam Capital, Inc. CRD: 108517 | - | 0 | 0 | - | Unknown |
| Afbi LP CRD: 331428 | - | 0 | 1 | - | Unknown |