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 |
|---|---|---|---|---|---|
| Devotio Capital Management LLC CRD: 305567 | - | 0 | 1 | - | Unknown |
| Devotion Capital Management CRD: 122060 | - | 0 | 2 | - | Unknown |
| Devryll Wealth Management CRD: 331162 | - | 0 | 1 | - | Unknown |
| Devtara Financial CRD: 338103 | - | 0 | 1 | - | Unknown |
| DEW Point Capital CRD: 305010 | - | 0 | 3 | - | Unknown |
| DEW Wealth Management CRD: 114148 | - | 0 | 15 | - | Unknown |
| DEW Wealth Strategies, LLC CRD: 118996 | - | 0 | 3 | - | Unknown |
| Dewaay Capital Management CRD: 116214 | - | 0 | 0 | - | Unknown |
| Dewaay Financial Network, LLC CRD: 30767 | - | 5 | 0 | C | INACTIVE |
| Dewitt and Dunn Financial Services, LLC CRD: 304561 | - | 0 | 3 | - | Unknown |
| Dewitt Capital Management CRD: 108232 | - | 0 | 2 | - | Unknown |
| Dewitt Capital Management LLC CRD: 105945 | - | 0 | 2 | - | Unknown |
| Dewpoint Financial CRD: 300551 | - | 0 | 0 | - | Unknown |
| DEX Options USA L.L.C. CRD: 120117 | - | 0 | 0 | A | INACTIVE |
| Dexia Securities USA LLC CRD: 145824 | - | 0 | 0 | A | INACTIVE |
| Dexter Yager Securities, Inc. CRD: 17707 | - | 0 | 0 | A | INACTIVE |
| Dextra Partners CRD: 321820 | - | 0 | 1 | - | Unknown |
| Dexus Capital Investors Limited CRD: 162793 | - | 0 | 0 | - | Unknown |
| DF Venture Management, LLC CRD: 328628 | - | 0 | 1 | - | Unknown |
| DFA Australia Limited CRD: 107621 | - | 0 | 0 | - | Unknown |
| DFA Securities LLC CRD: 10292 | TX | 0 | 4 | A | Active |
| DFC Investor Services CRD: 18558 | - | 0 | 0 | A | INACTIVE |
| DFC Preferred Advisors LLC CRD: 309927 | - | 0 | 1 | - | Unknown |
| Dffa, LLC CRD: 284456 | - | 0 | 1 | - | Unknown |
| DFG Advisory, LLC CRD: 164625 | - | 0 | 0 | - | Unknown |
| DFG Corporation CRD: 35112 | - | 0 | 0 | A | INACTIVE |
| DFG Investments LLC CRD: 330790 | - | 0 | 1 | - | Unknown |
| DFG Wealth Advisors CRD: 127703 | - | 0 | 0 | - | Unknown |
| DFG Wealth Management, LLC CRD: 157751 | - | 0 | 1 | - | Unknown |
| DFH Equities, Inc. CRD: 127328 | - | 0 | 0 | A | INACTIVE |
| DFI Capital Advisors, LLC CRD: 158054 | - | 0 | 0 | - | Unknown |
| DFJ Athena CRD: 162466 | - | 0 | 0 | - | Unknown |
| DFJ Dragon CRD: 162467 | - | 0 | 1 | - | Unknown |
| DFJ Eplanet CRD: 162462 | - | 0 | 0 | - | Unknown |
| DFJ Eplanet International Advisors LLC CRD: 162714 | - | 0 | 0 | - | Unknown |
| DFJ Growth CRD: 162463 | - | 0 | 1 | - | Unknown |
| DFJ Jaic Venture Partners, LLC CRD: 162977 | - | 0 | 0 | - | Unknown |
| DFJ NEW England CRD: 301629 | - | 0 | 0 | - | Unknown |
| DFJ Vinacapital CRD: 162470 | - | 0 | 0 | - | Unknown |
| DFN Management LLC. CRD: 285057 | - | 0 | 1 | - | Unknown |
| DFPG Investments, LLC CRD: 155576 | UT | 0 | 60 | A | Active |
| DFS Advisory CRD: 324992 | - | 0 | 1 | - | Unknown |
| DFS Capital Management CRD: 327508 | - | 0 | 2 | - | Unknown |
| DFS Equities, Inc. CRD: 18251 | - | 0 | 0 | A | INACTIVE |
| DFS LAB CRD: 322102 | - | 0 | 0 | - | Unknown |
| DFS Securities, Inc. CRD: 20972 | - | 0 | 0 | A | INACTIVE |
| DFT Energy LP CRD: 284002 | - | 0 | 0 | - | Unknown |
| DFW & Associates CRD: 115841 | - | 0 | 0 | - | Unknown |
| DFW Capital Partners CRD: 157337 | - | 0 | 1 | - | Unknown |
| DFW Clearing, Inc. CRD: 7736 | - | 0 | 0 | A | INACTIVE |