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.
A 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Rising Returns LLC. CRD: 170576 | - | 0 | 0 | A | Unknown |
| Rising Tide, Inc. CRD: 118516 | - | 0 | 0 | A | Unknown |
| Riskneutral, LLC CRD: 286116 | - | 0 | 1 | A | Unknown |
| Rite Financial Group CRD: 160924 | - | 0 | 0 | A | Unknown |
| Ritter Alpha, LP CRD: 300954 | - | 0 | 1 | A | Unknown |
| Riva Ridge Capital Management LP CRD: 137716 | - | 0 | 1 | A | Unknown |
| Rivage Investment US LLC CRD: 337592 | - | 0 | 1 | A | Unknown |
| Rivas Canyon Road Advisers LLC CRD: 284403 | - | 0 | 1 | A | Unknown |
| Rivean Capital B.V. CRD: 162161 | - | 0 | 0 | A | Unknown |
| River Investment Corp CRD: 122637 | - | 0 | 2 | A | Unknown |
| River Oaks Capital LLC CRD: 168962 | - | 0 | 0 | A | Unknown |
| River Oaks Trading, L.P. CRD: 42070 | - | 0 | 0 | A | INACTIVE |
| River Raisin Investment Partners, Inc. CRD: 298014 | - | 0 | 2 | A | Unknown |
| River Road Asset Management, LLC CRD: 134918 | - | 0 | 1 | A | Unknown |
| River SEA Network CRD: 333371 | - | 0 | 1 | A | Unknown |
| River's Edge CRD: 313711 | - | 0 | 1 | A | Unknown |
| Riverbanc LLC CRD: 165849 | - | 0 | 0 | A | Unknown |
| Riverbridge CRD: 108074 | - | 0 | 1 | A | Unknown |
| Rivero CPA LLC CRD: 129783 | - | 0 | 2 | A | Unknown |
| Rivertree Wealth CRD: 329595 | - | 0 | 3 | A | Unknown |
| Riverview Research, LLC CRD: 162318 | - | 0 | 1 | A | Unknown |
| Rives, Leavell & Co. CRD: 11206 | - | 2 | 0 | B | INACTIVE |
| Rivi Capital LLC CRD: 283779 | - | 0 | 1 | A | Unknown |
| Rivonia Road Capital LLC CRD: 296295 | - | 0 | 0 | A | Unknown |
| Riwm, LLC CRD: 160536 | - | 0 | 1 | A | Unknown |
| Rizek Investments CRD: 38452 | - | 0 | 0 | A | INACTIVE |
| RJ Aubrey Investments Corp. CRD: 134690 | - | 0 | 2 | A | Unknown |
| RJ Capital LLC CRD: 297839 | - | 0 | 0 | A | Unknown |
| RJ Capital, LLC CRD: 118931 | - | 0 | 0 | A | Unknown |
| RJ Carr III and Associates CRD: 141187 | - | 0 | 0 | A | Unknown |
| RJ Pace Financial CRD: 125676 | - | 0 | 2 | A | Unknown |
| RJ Patterson Group CRD: 281752 | - | 0 | 1 | A | Unknown |
| RJ20, Inc. CRD: 149575 | - | 0 | 1 | A | Unknown |
| RJD Partners Limited CRD: 162323 | - | 0 | 0 | A | Unknown |
| RJG Financial CRD: 114799 | - | 0 | 1 | A | Unknown |
| RJL Financial Group CRD: 287981 | - | 0 | 0 | A | Unknown |
| RJM Capital Management CRD: 135142 | - | 0 | 0 | A | Unknown |
| RJM Investments CRD: 126480 | - | 0 | 0 | A | Unknown |
| RJO Securities, Inc. CRD: 13586 | - | 3 | 0 | C | INACTIVE |
| RJP, L.L.C. CRD: 120769 | - | 0 | 0 | A | INACTIVE |
| RJS Global, LLC CRD: 124200 | - | 0 | 0 | A | INACTIVE |
| RK Asset Management CRD: 121886 | - | 0 | 2 | A | Unknown |
| RK Capital Management USA LP CRD: 282943 | - | 0 | 0 | A | Unknown |
| RK Options CRD: 34280 | - | 0 | 0 | A | INACTIVE |
| RK Retirement Solutions LLC CRD: 289018 | - | 0 | 3 | A | Unknown |
| RK Securities Corporation CRD: 103914 | - | 0 | 0 | A | INACTIVE |
| Rkca, Inc. CRD: 17655 | OH | 2 | 7 | B | Active |
| RKD Financial LLC CRD: 300550 | - | 0 | 0 | A | Unknown |
| Rkim Limited CRD: 304670 | - | 0 | 0 | A | Unknown |
| RKL Private Wealth CRD: 122693 | - | 0 | 6 | A | Unknown |