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 |
|---|---|---|---|---|---|
| DMT Capital LLC CRD: 340904 | - | 0 | 1 | - | Unknown |
| DMTS Capital Advisors, LLC CRD: 166821 | - | 0 | 0 | - | Unknown |
| DN Capital (US), Inc CRD: 161513 | - | 0 | 1 | - | Unknown |
| DN Partners L.L.C. CRD: 39915 | - | 0 | 0 | A | INACTIVE |
| DNA Capital USA LLC CRD: 309478 | - | 0 | 1 | - | Unknown |
| DNA Financial CRD: 323069 | - | 0 | 1 | - | Unknown |
| DNA Investment Partners, LLC CRD: 324263 | - | 0 | 0 | - | Unknown |
| DNA Securities LLC CRD: 312799 | IL | 0 | 2 | A | Active |
| DNA Wealth Management LLC CRD: 305791 | - | 0 | 1 | - | Unknown |
| DNB Carnegie, Inc. CRD: 127605 | NY | 0 | 2 | A | Active |
| DND Capital, Inc. CRD: 18808 | - | 0 | 0 | A | INACTIVE |
| Dndro Inc. CRD: 312871 | - | 0 | 0 | - | Unknown |
| DNS Financial Planners CRD: 144303 | - | 0 | 0 | - | Unknown |
| DNT Financial, LLC CRD: 150262 | - | 0 | 0 | - | Unknown |
| DNX Venture Partners IV CRD: 333106 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 325003 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 336680 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 333872 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 301664 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 174076 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 333875 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 301665 | - | 0 | 1 | - | Unknown |
| DNX Ventures CRD: 342032 | - | 0 | 1 | - | Unknown |
| DO Ventures Management, LLC CRD: 342451 | - | 0 | 0 | - | Unknown |
| DO Wealth Different CRD: 323323 | - | 0 | 1 | - | Unknown |
| DO, Khoa M CRD: 173121 | - | 0 | 0 | - | Unknown |
| DO, LEN D CRD: 313112 | - | 0 | 1 | - | Unknown |
| Dobbins Capital Management CRD: 166706 | - | 0 | 1 | - | Unknown |
| Dobbins Wealth Management, PLLC CRD: 313558 | - | 0 | 0 | - | Unknown |
| Dobbs Wealth Management Group, LLC CRD: 115125 | - | 0 | 0 | - | Unknown |
| Doberman Asset Management, LLC CRD: 283623 | - | 0 | 0 | - | Unknown |
| Doblones Advisors, LP CRD: 282524 | - | 0 | 0 | - | Unknown |
| Dobson & Johnson Capital Corporation CRD: 10824 | - | 0 | 0 | A | INACTIVE |
| Dobson Asset Management CRD: 112079 | - | 0 | 1 | - | Unknown |
| Dobson Asset Management LLC CRD: 315281 | - | 0 | 2 | - | Unknown |
| Dobson Asset Management, Inc. CRD: 131077 | - | 0 | 0 | - | Unknown |
| Dobson Street LLC CRD: 289509 | - | 0 | 3 | - | Unknown |
| Docempowered, LLC CRD: 331732 | - | 0 | 1 | - | Unknown |
| Docent Financial Services, Corp. CRD: 132522 | - | 2 | 0 | B | INACTIVE |
| Doceo Wealth, LLC CRD: 310415 | - | 0 | 1 | - | Unknown |
| Dock Square Capital LLC CRD: 288675 | - | 0 | 0 | - | Unknown |
| Dock Square Securities , LLC CRD: 290750 | - | 0 | 0 | A | INACTIVE |
| Dock Street Asset Management Inc CRD: 111163 | - | 0 | 3 | - | Unknown |
| Dock Street Capital Management LLC CRD: 157155 | - | 0 | 1 | - | Unknown |
| Dockside Platforms CRD: 330606 | - | 0 | 1 | - | Unknown |
| Dockyard Capital Management LP CRD: 295431 | - | 0 | 0 | - | Unknown |
| Docsa Capital Management, Inc. CRD: 124302 | - | 0 | 3 | - | Unknown |
| Docsfp CRD: 318460 | - | 0 | 1 | - | Unknown |
| Docshah Financial, LLC CRD: 327709 | - | 0 | 1 | - | Unknown |
| Doctors Family Office LLC CRD: 286462 | - | 0 | 1 | - | Unknown |