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 |
|---|---|---|---|---|---|
| Robinson Stocks CRD: 321752 | - | 0 | 1 | A | Unknown |
| Roble Management LLC CRD: 316529 | - | 0 | 1 | A | Unknown |
| Robo Advisor, Inc. CRD: 155976 | - | 0 | 1 | A | Unknown |
| Roboactive CRD: 299167 | - | 0 | 0 | A | Unknown |
| Robocap LLP CRD: 296461 | - | 0 | 0 | A | Unknown |
| Robovise DBA Robo CRD: 285062 | - | 0 | 0 | A | Unknown |
| Robur Capital, L.P. CRD: 152488 | - | 0 | 0 | A | Unknown |
| Robust Dynamics LP CRD: 286642 | - | 0 | 0 | A | Unknown |
| Robust Labs, LLC CRD: 319400 | - | 0 | 0 | A | Unknown |
| Robyns Capital Corp. CRD: 19980 | - | 0 | 0 | A | INACTIVE |
| ROC Global LLC CRD: 154058 | NY | 0 | 2 | A | Active |
| ROC Investments, LLC CRD: 317275 | - | 0 | 0 | A | Unknown |
| ROC Partners (US) LLC CRD: 333044 | - | 0 | 0 | A | Unknown |
| Rocco R. Santomenno CRD: 107832 | - | 0 | 1 | A | Unknown |
| Rock Health, Inc. CRD: 174847 | - | 0 | 0 | A | Unknown |
| Rock Hill Capital CRD: 163129 | - | 0 | 1 | A | Unknown |
| Rock ONE Advisors, LLC CRD: 167431 | - | 0 | 2 | A | Unknown |
| Rock Ridge Asset Management LLC CRD: 308167 | - | 0 | 0 | A | Unknown |
| Rock Ridge Wealth LLC CRD: 313914 | - | 0 | 1 | A | Unknown |
| Rock River Capital Partners, LLC CRD: 306103 | - | 0 | 1 | A | Unknown |
| Rockelis Partners CRD: 306539 | - | 0 | 0 | A | Unknown |
| Rocket Dollar Advisor, Inc. CRD: 170520 | - | 0 | 0 | A | Unknown |
| ROCKETSHIP.VC, LLC CRD: 301994 | - | 0 | 1 | A | Unknown |
| Rockford Partners CRD: 339746 | - | 0 | 1 | A | Unknown |
| Rockpoint CRD: 156630 | - | 0 | 1 | A | Unknown |
| Rocktop GP, LLC CRD: 175276 | - | 0 | 0 | A | Unknown |
| Rocktop Partners, LLC CRD: 283846 | - | 0 | 0 | A | Unknown |
| Roden Advisory Services, Inc. CRD: 286440 | - | 0 | 0 | A | Unknown |
| Rodeo Growth Partners GP, LLC CRD: 334201 | - | 0 | 1 | A | Unknown |
| Rodin, Bruce Dale CRD: 33956 | - | 0 | 0 | A | INACTIVE |
| Roditi & Roditi LLC CRD: 175122 | - | 0 | 0 | A | Unknown |
| Rodman & Renshaw Inc. CRD: 724 | - | 0 | 0 | A | INACTIVE |
| Rodman & Renshaw, LLC CRD: 16415 | - | 4 | 0 | C | INACTIVE |
| Rodman & Renshaw, LLC CRD: 281264 | NY | 0 | 3 | A | Active |
| Rodney Casey, P.C. CRD: 115149 | - | 0 | 0 | A | Unknown |
| ROE Equity Research LLC CRD: 127442 | - | 0 | 0 | A | Unknown |
| Roehl & YI Investment Advisors, LLC CRD: 109258 | - | 0 | 3 | A | Unknown |
| Roelofs Capital Group CRD: 317095 | - | 0 | 0 | A | Unknown |
| Roepe Rosenfeld Trading LLC CRD: 42793 | - | 1 | 0 | B | INACTIVE |
| ROG IX, LLC CRD: 304142 | - | 0 | 1 | A | Unknown |
| ROG VI L.L.C. CRD: 285639 | - | 0 | 1 | A | Unknown |
| Roger F. Woodman JR. & Co. CRD: 119778 | - | 0 | 2 | A | Unknown |
| Roger Manske CRD: 123601 | - | 0 | 2 | A | Unknown |
| Roger R. Bell & Co., Inc. CRD: 133477 | - | 0 | 2 | A | Unknown |
| Roger W Geary Inc. CRD: 36805 | - | 0 | 0 | A | INACTIVE |
| Roger W. Franz CRD: 37816 | - | 0 | 0 | A | INACTIVE |
| Rogers & Lamb CRD: 7288 | - | 0 | 0 | A | INACTIVE |
| Rogers Capital Group CRD: 26561 | - | 0 | 0 | A | INACTIVE |
| Rogers Investment Advisors K.K. CRD: 162896 | - | 0 | 0 | A | Unknown |
| Rogers Quimby & Associates CRD: 110034 | - | 0 | 0 | A | Unknown |