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 |
|---|---|---|---|---|---|
| Denver Ventures CRD: 340604 | - | 0 | 1 | - | Unknown |
| Denver Wealth Advisors CRD: 175097 | - | 0 | 0 | - | Unknown |
| Denver Wealth Management, Inc. CRD: 284868 | - | 0 | 1 | - | Unknown |
| DEP Capital CRD: 330159 | - | 0 | 1 | - | Unknown |
| Depaolis & Co. CRD: 8241 | - | 0 | 0 | A | INACTIVE |
| Depaolo & MAY Strategic Wealth LLC CRD: 327564 | - | 0 | 3 | - | Unknown |
| Dependent Financial Planning CRD: 330273 | - | 0 | 1 | - | Unknown |
| Depfa First Albany Securities, LLC CRD: 144232 | - | 0 | 0 | A | INACTIVE |
| Deposit Guaranty Investments, Inc. CRD: 27560 | - | 0 | 0 | A | INACTIVE |
| Deprince, Race & Zollo, Inc. CRD: 112099 | - | 0 | 1 | - | Unknown |
| Depth Ventures LLC CRD: 340787 | - | 0 | 1 | - | Unknown |
| Deramus Wealth Management, LLC CRD: 289771 | - | 0 | 1 | - | Unknown |
| Derand/Pennington/Bass, Inc. CRD: 4679 | - | 0 | 0 | A | INACTIVE |
| Derastone CRD: 153748 | - | 0 | 1 | - | Unknown |
| Derbend Asset Management CRD: 124463 | - | 0 | 0 | - | Unknown |
| Derby and Company Inc CRD: 106924 | - | 0 | 0 | - | Unknown |
| Derby and Derby, Inc. CRD: 137266 | - | 0 | 0 | - | Unknown |
| Derby Copeland Capital CRD: 321102 | - | 0 | 1 | - | Unknown |
| Derby Lane CRD: 334739 | - | 0 | 1 | - | Unknown |
| Derby Securities, Inc. CRD: 8100 | - | 0 | 0 | A | INACTIVE |
| Derderian Wealth Management, LLC CRD: 154025 | - | 0 | 1 | - | Unknown |
| Derenzo Advisors LLC CRD: 148612 | - | 0 | 2 | - | Unknown |
| Derigo Capital CRD: 307571 | - | 0 | 0 | - | Unknown |
| Derik Torres CPA PC CRD: 327064 | - | 0 | 1 | - | Unknown |
| Derivaty Co CRD: 310249 | - | 0 | 1 | - | Unknown |
| Derive Ventures CRD: 326349 | - | 0 | 1 | - | Unknown |
| Derive Wealth CRD: 284619 | - | 0 | 2 | - | Unknown |
| Derks Financial, LLC CRD: 315032 | - | 0 | 1 | - | Unknown |
| Dermot Fund Management LLC CRD: 333025 | - | 0 | 1 | - | Unknown |
| Dermott W. Clancy Corp. CRD: 37451 | - | 0 | 0 | A | INACTIVE |
| Dern Capital Management Corporation CRD: 129824 | - | 0 | 0 | - | Unknown |
| Deroy & Devereaux Private Investment Counsel, Inc. CRD: 121560 | - | 0 | 3 | - | Unknown |
| Derrin Leigh LLC CRD: 308426 | - | 0 | 1 | - | Unknown |
| Derryrush Wealth CRD: 338575 | - | 0 | 1 | - | Unknown |
| Derwood Investments, Inc. CRD: 41690 | - | 0 | 0 | A | INACTIVE |
| DES Financial Group, LLC CRD: 174421 | - | 0 | 1 | - | Unknown |
| DES Moines Investments, LLC CRD: 146322 | - | 0 | 2 | - | Unknown |
| DES Moines Wealth Management LLC CRD: 317687 | - | 0 | 0 | - | Unknown |
| DES Voeux Partners Limited CRD: 324788 | - | 0 | 0 | - | Unknown |
| Desai Capital Management, Inc. CRD: 168032 | - | 0 | 1 | - | Unknown |
| Desai Wealth LLC CRD: 335226 | - | 0 | 1 | - | Unknown |
| Desantis Securities Company CRD: 11398 | - | 0 | 0 | A | INACTIVE |
| Descalzi Financial Group CRD: 123409 | - | 0 | 0 | - | Unknown |
| Descant Financial Partners, LLC CRD: 146380 | - | 0 | 0 | - | Unknown |
| Deschutes Investment Consulting, LLC CRD: 155312 | - | 0 | 6 | - | Unknown |
| Deseret Point Partners LLC CRD: 340268 | - | 0 | 1 | - | Unknown |
| Desert Capital Advisors, LLC CRD: 312715 | - | 0 | 1 | - | Unknown |
| Desert Capital Management Group, Inc CRD: 132779 | - | 0 | 0 | - | Unknown |
| Desert Capital Management Group, Inc CRD: 322100 | - | 0 | 1 | - | Unknown |
| Desert Financial Advisers CRD: 113751 | - | 0 | 1 | - | Unknown |