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 |
|---|---|---|---|---|---|
| Diaphanum CRD: 310052 | - | 0 | 0 | - | Unknown |
| Dias Wealth, LLC CRD: 304465 | - | 0 | 2 | - | Unknown |
| Dias, Edward J. CRD: 164143 | - | 0 | 1 | - | Unknown |
| Diaspora Ventures CRD: 310368 | - | 0 | 1 | - | Unknown |
| Diastole Wealth Management CRD: 111604 | - | 0 | 8 | - | Unknown |
| Diaz & Altschul Capital, LLC CRD: 40899 | - | 0 | 0 | A | INACTIVE |
| Diaz-Bazan Asset Management LLC CRD: 269884 | - | 0 | 0 | - | Unknown |
| Diazo, LLC CRD: 324419 | - | 0 | 2 | - | Unknown |
| DIB Investment Management LLC CRD: 170501 | - | 0 | 1 | - | Unknown |
| Dibartolomeo Investment Group, LLC CRD: 284157 | - | 0 | 0 | - | Unknown |
| Dibenedetto & Associates Ltd CRD: 108092 | - | 0 | 3 | - | Unknown |
| Dibiase & Ruscetti Associates, Inc. CRD: 121786 | - | 0 | 0 | - | Unknown |
| Diccianni Financial Group, Inc. CRD: 149332 | - | 0 | 1 | - | Unknown |
| Dice Financial Investment Advisory CRD: 123922 | - | 0 | 0 | - | Unknown |
| Dice Financial Investment Advisory, LLC CRD: 304424 | - | 0 | 0 | - | Unknown |
| Dichromatic Capital LLC CRD: 317471 | - | 0 | 1 | - | Unknown |
| Dick Advisory Group CRD: 333425 | - | 0 | 0 | - | Unknown |
| Dick Hutchinson Registered Investment Advisor CRD: 111618 | - | 0 | 2 | - | Unknown |
| Dick Rivera & Associates CRD: 114409 | - | 0 | 0 | - | Unknown |
| Dick Spencer & Associates CRD: 10379 | - | 2 | 0 | B | INACTIVE |
| Dickenson Securities Corporation CRD: 6179 | - | 0 | 0 | A | INACTIVE |
| Dickinson & Co. CRD: 689 | - | 0 | 0 | A | INACTIVE |
| Dickinson Barnum Investment Management, LLC CRD: 156672 | - | 0 | 1 | - | Unknown |
| Dickinson Investment Advisors CRD: 115108 | - | 0 | 0 | - | Unknown |
| Dickmeyer Boyce Financial Management, Inc CRD: 124281 | - | 0 | 4 | - | Unknown |
| Dickson Capital Management, L.L.C. CRD: 125380 | - | 0 | 0 | - | Unknown |
| Dickson Financial Group, LLC. CRD: 292258 | - | 0 | 1 | - | Unknown |
| Diegelman Capital Advisors CRD: 283645 | - | 0 | 1 | - | Unknown |
| Diehl & Company CRD: 10549 | - | 0 | 0 | A | INACTIVE |
| Diem Investments, LLC CRD: 336745 | - | 0 | 1 | - | Unknown |
| Diem Wealth Management CRD: 164635 | - | 0 | 1 | - | Unknown |
| Diesel Energy International, L.L.C. CRD: 104484 | - | 6 | 0 | D | INACTIVE |
| Diesslin Group, Inc. CRD: 110557 | - | 0 | 3 | - | Unknown |
| DIF CRD: 291414 | - | 0 | 0 | - | Unknown |
| DIF CRD: 291416 | - | 0 | 0 | - | Unknown |
| DIF CRD: 291415 | - | 0 | 0 | - | Unknown |
| DIF CRD: 291411 | - | 0 | 0 | - | Unknown |
| DIF CRD: 291412 | - | 0 | 0 | - | Unknown |
| DIF CRD: 291409 | - | 0 | 0 | - | Unknown |
| DIF CRD: 304806 | - | 0 | 0 | - | Unknown |
| DIF US CRD: 316891 | - | 0 | 1 | - | Unknown |
| Difesa Capital Management, LP CRD: 302029 | - | 0 | 0 | - | Unknown |
| Different by Design Financial Planning CRD: 282810 | - | 0 | 0 | - | Unknown |
| Different Investments, LLC CRD: 301962 | - | 0 | 1 | - | Unknown |
| Differential Capital LLC CRD: 158245 | - | 0 | 1 | - | Unknown |
| Differential Planning LLC CRD: 312926 | - | 0 | 2 | - | Unknown |
| Differential Venture Partners, LLC CRD: 292813 | - | 0 | 1 | - | Unknown |
| Diffusion Markets, L.L.C. CRD: 151235 | - | 1 | 0 | B | INACTIVE |
| Difi Advisory CRD: 316756 | - | 0 | 1 | - | Unknown |
| Difini Group CRD: 170565 | - | 0 | 0 | - | Unknown |