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 |
|---|---|---|---|---|---|
| Rogow, Sharon CRD: 122490 | - | 0 | 0 | A | Unknown |
| Rogue CRD: 317149 | - | 0 | 1 | A | Unknown |
| Rogue Russell Investments CRD: 333111 | - | 0 | 2 | A | Unknown |
| Rogue Valley Wealth CRD: 309847 | - | 0 | 0 | A | Unknown |
| Roha Group Inc. CRD: 305119 | - | 0 | 1 | A | Unknown |
| Rohati Capital CRD: 335605 | - | 0 | 1 | A | Unknown |
| ROI Advisory CRD: 328047 | - | 0 | 0 | A | Unknown |
| ROI Capital Management CRD: 159819 | - | 0 | 0 | A | Unknown |
| ROI Capital Management CRD: 329424 | - | 0 | 1 | A | Unknown |
| ROI Financial CRD: 160100 | - | 0 | 2 | A | Unknown |
| ROI of Life CRD: 308468 | - | 0 | 0 | A | Unknown |
| Roland, Criss Investment Research, LLC CRD: 292171 | - | 0 | 1 | A | Unknown |
| Rolek Retirement Planning CRD: 285351 | - | 0 | 1 | A | Unknown |
| Rolf Adler Group Inc CRD: 106103 | - | 0 | 0 | A | Unknown |
| Roll Tack Ventures CRD: 330344 | - | 0 | 0 | A | Unknown |
| Roman Retirement Planning, LLC CRD: 306871 | - | 0 | 1 | A | Unknown |
| Roman Trading Corp. CRD: 18096 | - | 0 | 0 | A | INACTIVE |
| Roman Trading Partners, L.P. CRD: 24167 | - | 0 | 0 | A | INACTIVE |
| Romen Capital CRD: 331724 | - | 0 | 0 | A | Unknown |
| Romspen Investment LP CRD: 306131 | - | 0 | 0 | A | Unknown |
| RON Beaton's Money Matters CRD: 144174 | - | 0 | 0 | A | Unknown |
| RON Niederpruem, LLC CRD: 112136 | - | 0 | 0 | A | Unknown |
| RON Seremet, CPA CRD: 141478 | - | 0 | 0 | A | Unknown |
| Ronald J. Rich Financial Advising CRD: 132696 | - | 0 | 2 | A | Unknown |
| Ronald Johnson, LLC CRD: 142045 | - | 0 | 0 | A | Unknown |
| Ronald R Geiger LLC CRD: 153622 | - | 0 | 1 | A | Unknown |
| Ronald RAY Schulze CRD: 115007 | - | 0 | 1 | A | Unknown |
| Ronald Whitman Weiss Financial CRD: 23612 | - | 0 | 0 | A | INACTIVE |
| Ronda Inc CRD: 14711 | - | 0 | 0 | A | INACTIVE |
| Rondeivu Advisory CRD: 325505 | - | 0 | 1 | A | Unknown |
| Rondout Partners, LLC CRD: 298367 | NY | 0 | 2 | A | Active |
| Roney & Co. CRD: 45091 | - | 0 | 0 | A | INACTIVE |
| Roney & Co. L.L.C. CRD: 900 | - | 0 | 0 | A | INACTIVE |
| Rood Financial, LLC CRD: 290771 | - | 0 | 3 | A | Unknown |
| Roof Advisory Group, Inc. CRD: 117969 | - | 0 | 0 | A | Unknown |
| Rook Financial LLC CRD: 312856 | - | 0 | 0 | A | Unknown |
| Rook Financial LLC CRD: 335543 | - | 0 | 1 | A | Unknown |
| Rookwood Wealth CRD: 335267 | - | 0 | 1 | A | Unknown |
| Room40 Management, LLC CRD: 299241 | - | 0 | 0 | A | Unknown |
| Rooney, Pace Inc. CRD: 6218 | - | 0 | 0 | A | INACTIVE |
| Roosevelt Investments CRD: 107853 | - | 0 | 0 | A | Unknown |
| Root Capital - GestÃO DE Recursos Ltda. CRD: 323503 | - | 0 | 0 | A | Unknown |
| Root River Capital, LLC CRD: 281350 | - | 0 | 0 | A | Unknown |
| Rooted Planning Group CRD: 284120 | - | 0 | 1 | A | Unknown |
| Roots LLC CRD: 101800 | - | 0 | 0 | A | INACTIVE |
| ROR Capital LLC CRD: 169146 | - | 0 | 0 | A | Unknown |
| Rora Wealth, Inc. CRD: 297568 | - | 0 | 1 | A | Unknown |
| Rosci Lamb, LLC CRD: 337278 | - | 0 | 1 | A | Unknown |
| Roscoe Financial CRD: 120248 | - | 0 | 3 | A | Unknown |
| Rose Capital CRD: 106608 | - | 0 | 1 | A | Unknown |