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 |
|---|---|---|---|---|---|
| Dividends & More CRD: 125313 | - | 0 | 1 | - | Unknown |
| Dividex Management LLC CRD: 171322 | - | 0 | 1 | - | Unknown |
| Divinc Capital Management, LLC CRD: 326515 | - | 0 | 1 | - | Unknown |
| Divine Asset Management LLC CRD: 136836 | - | 0 | 1 | - | Unknown |
| Divine Capital Markets LLC CRD: 118212 | - | 7 | 0 | D | INACTIVE |
| Divine Wealth Strategies CRD: 298467 | - | 0 | 0 | - | Unknown |
| Divisadero Street Capital Management, LP CRD: 317392 | - | 0 | 1 | - | Unknown |
| Divisar Capital Management, LLC CRD: 149091 | - | 0 | 1 | - | Unknown |
| Divorce Financial Planning LLC CRD: 156745 | - | 0 | 0 | - | Unknown |
| Divvi Wealth Management CRD: 318241 | - | 0 | 2 | - | Unknown |
| Divvy Investments LLC CRD: 242786 | - | 0 | 0 | - | Unknown |
| Divyde Capital Partners L.P. CRD: 338880 | - | 0 | 1 | - | Unknown |
| Diwy Financial Planning CRD: 335615 | - | 0 | 1 | - | Unknown |
| Dixie's TAX & Financial Services, L.L.C. CRD: 339645 | - | 0 | 1 | - | Unknown |
| Dixon and Company Wealth Management, LLC CRD: 169862 | - | 0 | 1 | - | Unknown |
| Dixon Associates, Inc. CRD: 286524 | - | 0 | 0 | - | Unknown |
| Dixon Bretscher Noonan Inc. CRD: 1659 | - | 0 | 0 | A | INACTIVE |
| Dixon Financial Services CRD: 107166 | - | 0 | 6 | - | Unknown |
| Dixon Hughes Goodman Wealth Advisors LLC CRD: 109279 | - | 0 | 0 | - | Unknown |
| Dixon Midland Company LLC CRD: 312128 | - | 0 | 1 | - | Unknown |
| Dixon, Hubard, Feinour & Brown, Inc. CRD: 110777 | - | 0 | 0 | - | Unknown |
| Diyfi Advisors LLC CRD: 336288 | - | 0 | 1 | - | Unknown |
| DJ Financial CRD: 168015 | - | 0 | 2 | - | Unknown |
| DJ Hunt Private Client Group CRD: 118824 | - | 0 | 0 | - | Unknown |
| DJ Labs, LLC CRD: 337672 | - | 0 | 1 | - | Unknown |
| DJ Wealth Systems, LLC CRD: 299360 | - | 0 | 1 | - | Unknown |
| DJA Capital Management, LP CRD: 332825 | - | 0 | 1 | - | Unknown |
| DJD Diversified CRD: 137422 | - | 0 | 0 | - | Unknown |
| DJF & Associates CRD: 296880 | - | 0 | 0 | - | Unknown |
| DJF2, LLC CRD: 342342 | - | 0 | 1 | - | Unknown |
| DJG Financial Services, Inc. CRD: 146437 | - | 0 | 2 | - | Unknown |
| DJH Capital Management, LLC. CRD: 284607 | - | 0 | 0 | - | Unknown |
| DJM Financial Advisory Services, Inc. CRD: 21216 | - | 1 | 0 | B | INACTIVE |
| DJP Capital Advisors LLC CRD: 281248 | - | 0 | 0 | - | Unknown |
| DJP Investment Services, Inc. CRD: 140695 | - | 0 | 0 | - | Unknown |
| DJP Wealth Management, LLC CRD: 153663 | - | 0 | 1 | - | Unknown |
| Djpuff Advisors Group, Inc. CRD: 132754 | - | 0 | 1 | - | Unknown |
| DJS Advisers, Inc. CRD: 121353 | - | 0 | 0 | - | Unknown |
| DJS Securities Limited CRD: 13353 | - | 1 | 0 | B | INACTIVE |
| DJT, LLC CRD: 286490 | - | 0 | 1 | - | Unknown |
| DK Capital Fund GP, LLC CRD: 328870 | - | 0 | 0 | - | Unknown |
| DK Financial Advisors LLC CRD: 156620 | - | 0 | 0 | - | Unknown |
| DKB Securities (USA) Corporation CRD: 28333 | - | 0 | 0 | A | INACTIVE |
| DKB Securities Corporation CRD: 24155 | - | 0 | 0 | A | INACTIVE |
| DKCB Financial Advisors, LLC CRD: 126493 | - | 0 | 1 | - | Unknown |
| DKM Trading, LLC CRD: 127237 | - | 0 | 0 | A | INACTIVE |
| DKM Wealth Management, Inc. CRD: 316778 | - | 0 | 1 | - | Unknown |
| DKR Capital Partners L.P. CRD: 117815 | - | 0 | 0 | - | Unknown |
| DKR Capital Securities Corp. CRD: 122245 | - | 0 | 0 | A | INACTIVE |
| DL Capital Management, LLC CRD: 158208 | - | 0 | 0 | - | Unknown |