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 |
|---|---|---|---|---|---|
| DI Vall Real Estate Securities Corporation CRD: 13760 | - | 0 | 0 | A | INACTIVE |
| DI VES Tech CRD: 128760 | - | 0 | 0 | - | Unknown |
| DIA LLC CRD: 165619 | - | 0 | 2 | - | Unknown |
| Diablo Investment Advisors, LLC CRD: 148139 | - | 0 | 1 | - | Unknown |
| Diablo Securities, Inc. CRD: 8291 | - | 0 | 0 | A | INACTIVE |
| Diablo Vista Capital, LLC CRD: 155830 | - | 0 | 3 | - | Unknown |
| Diadema Partners LP CRD: 331527 | - | 0 | 1 | - | Unknown |
| Diag Capital Management, LP CRD: 284765 | - | 0 | 0 | - | Unknown |
| Diagram Corporation CRD: 312543 | - | 0 | 0 | - | Unknown |
| Dial Capital Management LLC CRD: 127063 | - | 0 | 0 | - | Unknown |
| Dialectic Capital Management LP CRD: 317039 | - | 0 | 1 | - | Unknown |
| Dialectic Capital Management, LP CRD: 282074 | - | 0 | 0 | - | Unknown |
| Diamant Asset Management, Inc. CRD: 107788 | - | 0 | 2 | - | Unknown |
| Diamant Investment Corporation CRD: 7047 | - | 6 | 0 | D | INACTIVE |
| Diameter Capital Partners LP CRD: 289307 | - | 0 | 1 | - | Unknown |
| Diameter DCF Advisor LLC CRD: 335395 | - | 0 | 1 | - | Unknown |
| Diameter Principal Finance LLC CRD: 328057 | - | 0 | 1 | - | Unknown |
| Diametric Capital Management, LLC CRD: 312262 | - | 0 | 1 | - | Unknown |
| Diametric Capital, LP CRD: 288409 | - | 0 | 1 | - | Unknown |
| Diamond Asset Management, LLC CRD: 166458 | - | 0 | 0 | - | Unknown |
| Diamond Capital (US) LLC CRD: 329345 | - | 0 | 1 | - | Unknown |
| Diamond Capital Partners LLC CRD: 140470 | - | 0 | 0 | A | INACTIVE |
| Diamond Carter Trading, L.L.C. CRD: 104431 | - | 0 | 0 | A | INACTIVE |
| Diamond Castle Holdings, LLC CRD: 156642 | - | 0 | 0 | - | Unknown |
| Diamond Client Group, LLC CRD: 310570 | - | 0 | 3 | - | Unknown |
| Diamond Creek Advisors LLC CRD: 337307 | - | 0 | 0 | - | Unknown |
| Diamond Crest Capital, LLC CRD: 286492 | - | 0 | 1 | - | Unknown |
| Diamond Equity Advisors CRD: 306451 | - | 0 | 2 | - | Unknown |
| Diamond Financial Corporation CRD: 141115 | - | 0 | 0 | - | Unknown |
| Diamond Financial Investment Group, L.L.C. CRD: 311319 | - | 0 | 0 | - | Unknown |
| Diamond Head Beach Securities, Inc. CRD: 13196 | - | 0 | 0 | A | INACTIVE |
| Diamond Head Financial Advisors LLC CRD: 149158 | - | 0 | 2 | - | Unknown |
| Diamond Hill Capital Management Inc CRD: 110638 | - | 0 | 2 | - | Unknown |
| Diamond Hill Securities, Inc. CRD: 28240 | - | 1 | 0 | B | INACTIVE |
| Diamond Investment Management Services, LLC CRD: 164439 | - | 0 | 2 | - | Unknown |
| Diamond K Financial CRD: 25944 | - | 0 | 0 | A | INACTIVE |
| Diamond Lake Capital CRD: 314605 | - | 0 | 0 | - | Unknown |
| Diamond Nestegg CRD: 322780 | - | 0 | 1 | - | Unknown |
| Diamond Peak Wealth Management LLC CRD: 342229 | - | 0 | 1 | - | Unknown |
| Diamond Realty Management Inc. CRD: 305364 | - | 0 | 0 | - | Unknown |
| Diamond Sage Financial, LLC CRD: 165913 | - | 0 | 0 | - | Unknown |
| Diamond Securities LP CRD: 37042 | - | 0 | 0 | A | INACTIVE |
| Diamond Trail Capital Management CRD: 328798 | - | 0 | 1 | - | Unknown |
| Diamond Wealth Advisors CRD: 286163 | - | 0 | 0 | - | Unknown |
| Diamond Wealth Management, LLC CRD: 288603 | - | 0 | 3 | - | Unknown |
| Diamond Wealth Partners CRD: 321866 | - | 0 | 2 | - | Unknown |
| Diamond, Turk & Co. CRD: 5150 | - | 0 | 0 | A | INACTIVE |
| Diamondhead Management, LLC CRD: 162405 | - | 0 | 0 | - | Unknown |
| Diana Richey CRD: 323252 | - | 0 | 1 | - | Unknown |
| Diane Williams Financial Planning Services, LLC CRD: 158561 | - | 0 | 0 | - | Unknown |