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 |
|---|---|---|---|---|---|
| DIR Advisors, LLC CRD: 286291 | - | 0 | 0 | - | Unknown |
| Dira Capital Management LLC CRD: 331430 | - | 0 | 0 | - | Unknown |
| Direct 401K CRD: 173939 | - | 0 | 0 | - | Unknown |
| Direct 50 Advisory Services LLC CRD: 319558 | - | 0 | 0 | - | Unknown |
| Direct Access Partners LLC CRD: 120950 | - | 4 | 0 | C | INACTIVE |
| Direct Advisors, LLC CRD: 141515 | - | 0 | 0 | - | Unknown |
| Direct Brokerage, Inc. CRD: 24907 | - | 5 | 0 | C | INACTIVE |
| Direct Capital Advisors CRD: 146395 | - | 0 | 0 | - | Unknown |
| Direct Capital Corporation CRD: 14861 | - | 0 | 0 | A | INACTIVE |
| Direct Capital Securities, Inc. CRD: 29639 | - | 2 | 0 | B | INACTIVE |
| Direct Equities, Inc. CRD: 22538 | - | 0 | 0 | A | INACTIVE |
| Direct File Feed CRD: 164536 | - | 0 | 0 | - | Unknown |
| Direct Financial Care CRD: 310559 | - | 0 | 2 | - | Unknown |
| Direct Financial, LLC CRD: 157782 | - | 0 | 0 | - | Unknown |
| Direct Index Edge Management, LLC CRD: 332852 | - | 0 | 0 | - | Unknown |
| Direct Investment Advisor LLC CRD: 338873 | - | 0 | 1 | - | Unknown |
| Direct Investment Financial Group, Inc. CRD: 104403 | - | 0 | 0 | A | INACTIVE |
| Direct Lending Investments, LLC CRD: 282476 | - | 0 | 0 | - | Unknown |
| Direct Match CRD: 226580 | - | 0 | 0 | A | INACTIVE |
| Direct Participation Securities Corporation CRD: 10583 | - | 0 | 0 | A | INACTIVE |
| Direct Realty Securities, Inc. CRD: 168435 | CA | 0 | 2 | A | Active |
| Direct Source Wealth Advisory CRD: 300201 | - | 0 | 0 | - | Unknown |
| Directed Capital Advisors CRD: 162277 | - | 0 | 1 | - | Unknown |
| Directed Services LLC CRD: 21675 | PA | 2 | 3 | B | Active |
| Direction Financial Management, LLC CRD: 165985 | - | 0 | 1 | - | Unknown |
| Directional Advisors CRD: 311908 | - | 0 | 1 | - | Unknown |
| Directional Asset Management, LLC CRD: 152859 | - | 0 | 1 | - | Unknown |
| Directional Financial Services CRD: 171903 | - | 0 | 3 | - | Unknown |
| Directrade Brokerage Services Inc. CRD: 17528 | - | 0 | 0 | A | INACTIVE |
| Directround Management, LLC. CRD: 315595 | - | 0 | 1 | - | Unknown |
| Directtrade Securities, LLC CRD: 315469 | WA | 0 | 2 | A | Active |
| Direwolf Wealth Management, LLC CRD: 169000 | - | 0 | 1 | - | Unknown |
| Direxion Advisors, LLC CRD: 291610 | - | 0 | 0 | - | Unknown |
| Dirigo Financial LLC CRD: 333829 | - | 0 | 2 | - | Unknown |
| Dirigo Investment Advisors, LLC CRD: 285497 | - | 0 | 1 | - | Unknown |
| Dirigo Investments, Inc. CRD: 27264 | - | 0 | 0 | A | INACTIVE |
| Dirigo Private Wealth CRD: 318002 | - | 0 | 1 | - | Unknown |
| Dirigo Strategic Wealth Management CRD: 165563 | - | 0 | 0 | - | Unknown |
| Dirks & Company, Inc. CRD: 42185 | - | 9 | 0 | D | INACTIVE |
| DIS Management Company CRD: 162242 | - | 0 | 1 | - | Unknown |
| DIS-COM Securities, Inc. CRD: 6928 | - | 0 | 0 | A | INACTIVE |
| Disalle Securities & Mortgage Co. CRD: 10504 | - | 0 | 0 | A | INACTIVE |
| Discepoli Financial Planning, LLC CRD: 134108 | - | 0 | 0 | - | Unknown |
| Discerene Group LP CRD: 154396 | - | 0 | 1 | - | Unknown |
| Discern Investment Analytics, Inc. CRD: 152414 | - | 0 | 0 | - | Unknown |
| Discern Securities, Inc. CRD: 155854 | - | 0 | 0 | A | INACTIVE |
| Discerning Capital LLC CRD: 329416 | - | 0 | 1 | - | Unknown |
| Disciplina Asset Management (Singapore) PTE. Ltd. CRD: 322019 | - | 0 | 0 | - | Unknown |
| Disciplina Capital Management, LLC CRD: 167295 | - | 0 | 2 | - | Unknown |
| Discipline Strategies Management, LP CRD: 336716 | - | 0 | 1 | - | Unknown |