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 |
|---|---|---|---|---|---|
| Rose Digital LLC CRD: 335006 | - | 0 | 1 | A | Unknown |
| Rose Equities, Inc. CRD: 22508 | - | 0 | 0 | A | INACTIVE |
| Rose Wealth, LLC CRD: 334740 | - | 0 | 3 | A | Unknown |
| Rose, Ching CRD: 121948 | - | 0 | 0 | A | INACTIVE |
| Roseman Wagner Wealth Management CRD: 148221 | - | 0 | 3 | A | Unknown |
| Rosemary Frank Financial, LLC CRD: 279027 | - | 0 | 1 | A | Unknown |
| Rosen Capital, L.P. CRD: 32128 | - | 0 | 0 | A | INACTIVE |
| Rosenbaum, Donald Richard CRD: 33355 | - | 0 | 0 | A | INACTIVE |
| Rosenblum Silverman Sutton SF Inc CRD: 105774 | - | 0 | 1 | A | Unknown |
| Roseridge Securities Corp. CRD: 27053 | - | 0 | 0 | A | INACTIVE |
| Rosetta Partners LLC CRD: 47841 | - | 0 | 0 | A | INACTIVE |
| Roshelen, Inc. CRD: 170904 | - | 0 | 1 | A | Unknown |
| Roslund, Richard Henry CRD: 118445 | - | 0 | 0 | A | INACTIVE |
| Ross Financial Group CRD: 157627 | - | 0 | 1 | A | Unknown |
| Ross Securities Corp. CRD: 15090 | - | 0 | 0 | A | INACTIVE |
| Ross Securities Corp. CRD: 30263 | - | 0 | 0 | A | INACTIVE |
| Ross Wealth Group, LLC CRD: 331750 | - | 0 | 2 | A | Unknown |
| Ross, Stebbins Inc. CRD: 6381 | - | 0 | 0 | A | INACTIVE |
| Ross, Steven H. CRD: 34034 | - | 0 | 0 | A | INACTIVE |
| Ross, William David CRD: 103764 | - | 0 | 0 | A | INACTIVE |
| Rossi and Associates CRD: 142296 | - | 0 | 0 | A | Unknown |
| Rossi Financial Group CRD: 164096 | - | 0 | 1 | A | Unknown |
| Rossoff & Co. LLC CRD: 148440 | - | 0 | 0 | A | INACTIVE |
| Roswell Asset Advisors LLC CRD: 173918 | - | 0 | 0 | A | Unknown |
| Rotan Mosle Inc. CRD: 727 | - | 0 | 0 | A | INACTIVE |
| Rothenberg-Rosenfield Investments Inc CRD: 13927 | - | 0 | 0 | A | INACTIVE |
| Rothlein, Andrew CRD: 104011 | - | 0 | 0 | A | INACTIVE |
| Rothlein, Andrew CRD: 32813 | - | 0 | 0 | A | INACTIVE |
| Rothschild & Co Redburn CRD: 325601 | - | 0 | 0 | A | Unknown |
| Rothschild & Co Redburn CRD: 140564 | NY | 1 | 4 | B | Active |
| Rothschild & Co US Inc. CRD: 2910 | NY | 1 | 5 | B | Active |
| Rothschild Registry International, Inc. CRD: 11014 | - | 0 | 0 | A | INACTIVE |
| Roulston Research Corp. CRD: 3235 | - | 0 | 0 | A | INACTIVE |
| Roulston Research Corp. CRD: 17864 | - | 0 | 0 | A | INACTIVE |
| Round CRD: 285935 | - | 0 | 0 | A | Unknown |
| Round Hill Capital CRD: 306688 | - | 0 | 0 | A | Unknown |
| Round Hill Music LP CRD: 167234 | - | 0 | 1 | A | Unknown |
| Round OAK Capital LLC CRD: 139916 | - | 0 | 1 | A | Unknown |
| Round Rock Advisors LLC CRD: 286007 | - | 0 | 2 | A | Unknown |
| Roundhill Investments CRD: 300799 | - | 0 | 1 | A | Unknown |
| Roundrock Capital Partners, L.P. CRD: 117615 | - | 0 | 0 | A | Unknown |
| Roush Investment Group CRD: 151288 | - | 0 | 0 | A | Unknown |
| Rover Capital Partners (RCP) CRD: 166849 | - | 0 | 0 | A | Unknown |
| Rovin Capital CRD: 157849 | - | 0 | 0 | A | Unknown |
| Rovin Capital CRD: 152662 | - | 0 | 2 | A | Unknown |
| ROW Management Inc. CRD: 332345 | - | 0 | 1 | A | Unknown |
| ROW Your OWN Boat CRD: 291886 | - | 0 | 1 | A | Unknown |
| Rowe & Company, Inc. CRD: 7723 | - | 1 | 0 | B | INACTIVE |
| Rowe & Pitman, Inc. CRD: 3236 | - | 0 | 0 | A | INACTIVE |
| Rowland, Simon & Co. CRD: 21666 | - | 0 | 0 | A | INACTIVE |