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 |
|---|---|---|---|---|---|
| DL Securities, Ltd. CRD: 31460 | - | 0 | 0 | A | INACTIVE |
| DL Wealth Management Group CRD: 289085 | - | 0 | 1 | - | Unknown |
| Dlab Ventures LLC CRD: 326937 | - | 0 | 1 | - | Unknown |
| Dlak Wealth Advisors, LLC CRD: 315670 | - | 0 | 0 | - | Unknown |
| DLB Securities L.L.C. CRD: 129354 | - | 3 | 0 | C | INACTIVE |
| DLB Wealth Advisors LLC CRD: 147897 | - | 0 | 1 | - | Unknown |
| DLC Wealth Management CRD: 330170 | - | 0 | 1 | - | Unknown |
| DLCC Prime CRD: 312753 | NJ | 0 | 2 | A | Active |
| DLD Asset Management, LP CRD: 170377 | - | 0 | 1 | - | Unknown |
| DLG Securities Corporation CRD: 31414 | - | 0 | 0 | A | INACTIVE |
| DLG Securities LLC CRD: 47423 | - | 0 | 0 | A | INACTIVE |
| DLJ Capital Corporation CRD: 162013 | - | 0 | 0 | - | Unknown |
| DLJ Real Estate Capital Partners, LLC CRD: 106238 | - | 0 | 1 | - | Unknown |
| DLK Investment Advisors, LLC CRD: 328897 | - | 0 | 1 | - | Unknown |
| DLK Investment Management CRD: 149096 | - | 0 | 1 | - | Unknown |
| DLO Securities, Inc. CRD: 24457 | - | 0 | 0 | A | INACTIVE |
| DLP Capital Advisors, LLC CRD: 297511 | - | 0 | 0 | - | Unknown |
| DLS Capital Management, LLC CRD: 151217 | - | 0 | 0 | - | Unknown |
| DLS Capital Partners, Inc. CRD: 37155 | - | 2 | 0 | B | INACTIVE |
| DLV Capital, LP CRD: 318605 | - | 0 | 1 | - | Unknown |
| DLW Financial Management, LLC CRD: 166516 | - | 0 | 2 | - | Unknown |
| DLW Planning Inc. CRD: 171690 | - | 0 | 1 | - | Unknown |
| DLX Financial Group, LLC CRD: 158690 | - | 0 | 0 | A | INACTIVE |
| DM Black & Company, Inc. of Washington CRD: 13328 | - | 0 | 0 | A | INACTIVE |
| DM Capital Management, LLC CRD: 313633 | - | 0 | 1 | - | Unknown |
| DM Capital Partners LLC CRD: 309632 | - | 0 | 0 | - | Unknown |
| DM Financial Group CRD: 304395 | - | 0 | 0 | - | Unknown |
| DM Hess Investments, Inc. CRD: 161328 | - | 0 | 0 | - | Unknown |
| DM Martins Capital Management, LLC CRD: 307374 | - | 0 | 0 | - | Unknown |
| Dmac Consulting Services CRD: 340363 | - | 0 | 2 | - | Unknown |
| DMC Capital Management Inc CRD: 134987 | - | 0 | 2 | - | Unknown |
| DMC Securities Inc. CRD: 13647 | - | 0 | 0 | A | INACTIVE |
| DMC Wealth Management, LLC CRD: 299804 | - | 0 | 2 | - | Unknown |
| DMD Capital, LLC CRD: 145803 | - | 0 | 0 | - | Unknown |
| DMD Financial Services, LLC CRD: 291858 | - | 0 | 0 | - | Unknown |
| DME Advisors, LP CRD: 157074 | - | 0 | 1 | - | Unknown |
| DME Capital Management, LP CRD: 157081 | - | 0 | 1 | - | Unknown |
| DME Financial CRD: 306843 | - | 0 | 0 | - | Unknown |
| DME Inc. CRD: 14781 | - | 0 | 0 | A | INACTIVE |
| DME Securities, LLC CRD: 112584 | - | 2 | 0 | B | INACTIVE |
| DMG Capital, LLC CRD: 131561 | - | 0 | 0 | - | Unknown |
| DMG Securities, Inc. CRD: 15480 | VA | 4 | 2 | B | Active |
| DMJ Wealth Advisors, LLC CRD: 301042 | - | 0 | 0 | - | Unknown |
| DMK Advisor Group, Inc. CRD: 41067 | FL | 5 | 25 | B | Active |
| DMKC Advisory Services, LLC CRD: 145112 | - | 0 | 1 | - | Unknown |
| Dmlo Wealth Planning, LLC CRD: 316202 | - | 0 | 1 | - | Unknown |
| DMR Securities Inc. CRD: 47640 | - | 0 | 0 | A | INACTIVE |
| DMR Securities, Inc. CRD: 5245 | - | 0 | 0 | A | INACTIVE |
| DMS Capital Solutions, Inc. CRD: 150695 | - | 0 | 0 | A | INACTIVE |
| DMS Trading, LLC CRD: 34150 | - | 0 | 0 | A | INACTIVE |