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 |
|---|---|---|---|---|---|
| ASCENT CAPITAL ADVISORS (AMERICA) LLC CRD: 226540 | — | 0 | 0 | A | INACTIVE |
| ASCENT FINANCIAL ADVISORS CRD: 154140 | — | 0 | 0 | A | Unknown |
| ASCENT IT LLC CRD: 150685 | — | 0 | 0 | A | Unknown |
| ASCENTA CAPITAL CRD: 327650 | — | 0 | 0 | A | Unknown |
| ASCENTAGE ADVISORS, LLC CRD: 135446 | — | 0 | 0 | A | INACTIVE |
| ASCENTIS INDEPENDENT ADVISORS, LLC CRD: 322879 | — | 0 | 0 | A | Unknown |
| ASCRIBE MANAGEMENT LLC CRD: 160650 | — | 0 | 0 | A | Unknown |
| ASEMPA WEALTH ADVISORS CRD: 328609 | — | 0 | 0 | A | Unknown |
| ASG ADVISORY, LLC CRD: 330132 | — | 0 | 0 | A | Unknown |
| ASG CAPITAL CRD: 149013 | — | 0 | 0 | A | Unknown |
| ASG SECURITIES, INC. CRD: 44534 | — | 2 | 0 | F | INACTIVE |
| ASGARD ASSET MANAGEMENT A/S CRD: 324667 | — | 0 | 0 | A | Unknown |
| ASH CAPITAL LLC CRD: 289480 | — | 0 | 0 | A | Unknown |
| ASH FINANCIAL CORP. CRD: 24990 | — | 0 | 0 | A | INACTIVE |
| ASHBURTON INVESTMENTS CRD: 169625 | — | 0 | 0 | A | Unknown |
| ASHER BROS. LLC CRD: 149851 | — | 0 | 0 | A | INACTIVE |
| ASHFORD ADVISORS, LLC CRD: 114238 | — | 0 | 0 | A | Unknown |
| ASHLAND ADVISORS PLLC CRD: 319577 | — | 0 | 0 | A | Unknown |
| ASHRAF CAPITAL CORP. CRD: 42611 | — | 3 | 0 | F | INACTIVE |
| ASHTON ROYCE & CO. CRD: 147671 | — | 0 | 0 | A | Unknown |
| ASHTON THOMAS ADVISORS LLC CRD: 329492 | — | 0 | 0 | A | Unknown |
| ASHTON YOUNG, INC. CRD: 2827 | — | 2 | 0 | F | INACTIVE |
| ASHWOOD ADVISORS CRD: 128811 | — | 0 | 0 | A | Unknown |
| ASHWORTH FINANCIAL CRD: 288917 | — | 0 | 0 | A | Unknown |
| ASHWORTH WEALTH, LLC CRD: 116950 | — | 0 | 0 | A | Unknown |
| ASI ADVISER LLC CRD: 304620 | — | 0 | 0 | A | Unknown |
| ASI INVESTMENTS, INC. CRD: 47780 | — | 0 | 0 | A | INACTIVE |
| ASI WEALTH ADVISORS LLC CRD: 165293 | — | 0 | 0 | A | Unknown |
| ASIA EQUITY INC. CRD: 37740 | — | 0 | 0 | A | INACTIVE |
| ASIA2G CAPITAL CRD: 329695 | — | 0 | 0 | A | Unknown |
| ASIEL & CO. LLC CRD: 1112 | — | 11 | 0 | F | INACTIVE |
| ASK DOLLY CRD: 337843 | — | 0 | 0 | A | Unknown |
| ASKAR CORP. CRD: 7512 | — | 6 | 0 | F | INACTIVE |
| ASKHOLLY LLC CRD: 312848 | — | 0 | 0 | A | Unknown |
| ASL FINANCIAL, LLC CRD: 115479 | — | 0 | 0 | A | Unknown |
| ASL MANAGEMENT LLC CRD: 282878 | — | 0 | 0 | A | Unknown |
| ASLAN ROSE LLC CRD: 337741 | — | 0 | 0 | A | Unknown |
| ASPECT MANAGEMENT, LLC CRD: 175357 | — | 0 | 0 | A | Unknown |
| ASPECT PARTNERS, LLC CRD: 307273 | — | 0 | 0 | A | Unknown |
| ASPEN ACQUISITIONS ADVISOR, INC. CRD: 302106 | — | 0 | 0 | A | Unknown |
| ASPEN AFFILIATES, INC. CRD: 6901 | — | 0 | 0 | A | INACTIVE |
| ASPEN ALPHA ADVISORS, LLC CRD: 324611 | — | 0 | 0 | A | Unknown |
| ASPEN ALPINE CAPITAL LLC CRD: 309099 | NY | 0 | 1 | A | Active |
| ASPEN ASSET MANAGEMENT INC. CRD: 171124 | — | 0 | 0 | A | Unknown |
| ASPEN CAPITAL ADVISORS INC. CRD: 284149 | — | 0 | 0 | A | Unknown |
| ASPEN PARTNERS, LTD. CRD: 135287 | — | 0 | 0 | A | Unknown |
| ASPEN PRIVATE ADVISORS, LLC CRD: 297639 | — | 0 | 0 | A | Unknown |
| ASPEN TRADING, L.L.C CRD: 42516 | — | 5 | 0 | F | INACTIVE |
| ASPEN WEALTH ADVISORS LLC CRD: 312204 | — | 0 | 0 | A | Unknown |
| ASPEN YORKSHIRE CRD: 137187 | — | 0 | 0 | A | Unknown |