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 |
|---|---|---|---|---|---|
| Dodd & Associates CRD: 118150 | - | 0 | 0 | - | Unknown |
| Dodds Wealth Management Group CRD: 131734 | - | 0 | 0 | - | Unknown |
| Dodds Wealth, LLC CRD: 323632 | - | 0 | 7 | - | Unknown |
| Dodge & COX CRD: 104596 | - | 0 | 2 | - | Unknown |
| Dodge Securities Company,Inc. CRD: 15827 | - | 0 | 0 | A | INACTIVE |
| Dodge Wealth Management CRD: 170892 | - | 0 | 1 | - | Unknown |
| Dodge, James S CRD: 167523 | - | 0 | 0 | - | Unknown |
| Dodie Douglas, CFP CRD: 117380 | - | 0 | 0 | - | Unknown |
| Dodok Wealth and Investment Advisors LLC CRD: 155307 | - | 0 | 2 | - | Unknown |
| Doench Wealth Management, LLC CRD: 171515 | - | 0 | 1 | - | Unknown |
| Doepfner Capital Management, L.P. CRD: 335225 | - | 0 | 1 | - | Unknown |
| Doeren Mayhew Capital Advisors, LLC CRD: 288269 | TX | 1 | 5 | B | Active |
| Doeren Services LLC CRD: 322983 | - | 0 | 1 | - | Unknown |
| Doerring Securities Corporation CRD: 13993 | - | 0 | 0 | A | INACTIVE |
| Doft & Co., Inc. CRD: 1660 | NY | 4 | 2 | B | Active |
| DOG House Trading, LLC. CRD: 117525 | - | 0 | 0 | A | INACTIVE |
| Dogma Capital Services (CY) Ltd CRD: 320828 | - | 0 | 0 | - | Unknown |
| Dogpatch Wealth CRD: 171464 | - | 0 | 2 | - | Unknown |
| Dogwood Capital Enterprises LLC CRD: 170275 | - | 0 | 0 | - | Unknown |
| Dogwood Capital Management CRD: 126568 | - | 0 | 1 | - | Unknown |
| Dogwood Capital, LLC CRD: 135230 | - | 0 | 2 | - | Unknown |
| Dogwood Financial Planning CRD: 145889 | - | 0 | 3 | - | Unknown |
| Dogwood Investment Advisors CRD: 170182 | - | 0 | 2 | - | Unknown |
| Dogwood Partners, LLC CRD: 322635 | - | 0 | 0 | - | Unknown |
| Dogwood Thoroughbreds, Inc. CRD: 15934 | - | 0 | 0 | A | INACTIVE |
| Dogwood Trading L.L.C. CRD: 47949 | - | 0 | 0 | A | INACTIVE |
| Dogwood Wealth Management, LLC CRD: 317580 | - | 0 | 1 | - | Unknown |
| Doheny Asset Management, L.L.C. CRD: 106434 | - | 0 | 1 | - | Unknown |
| Doheny, Edward J. CRD: 116673 | - | 0 | 0 | - | Unknown |
| Doherty & Co. CRD: 1661 | - | 0 | 0 | A | INACTIVE |
| Doherty & Company, LLC CRD: 47984 | - | 1 | 0 | B | INACTIVE |
| Doherty,Daniel S. CRD: 37366 | - | 0 | 0 | A | INACTIVE |
| Dohmann Financial Advisory Services CRD: 309589 | - | 0 | 0 | - | Unknown |
| Dohn Investments, Incorporated CRD: 16692 | - | 0 | 0 | A | INACTIVE |
| Dolan & Pitcher, Inc. CRD: 7657 | - | 0 | 0 | A | INACTIVE |
| Dolan Capital Advisors, LLC CRD: 269886 | - | 0 | 1 | - | Unknown |
| Dolan Capital Group, LLC CRD: 154524 | - | 0 | 0 | - | Unknown |
| Dolan Financial Corp CRD: 104734 | - | 0 | 0 | - | Unknown |
| Dolan Mceniry Capital Management LLC CRD: 108658 | - | 0 | 1 | - | Unknown |
| Dolan Partners LLC CRD: 152317 | - | 0 | 1 | - | Unknown |
| Dolben Equities, Inc. CRD: 17418 | - | 0 | 0 | A | INACTIVE |
| Dolby Family Capital Management LLC CRD: 313971 | - | 0 | 1 | - | Unknown |
| Dolby Family Ventures LLC CRD: 313994 | - | 0 | 1 | - | Unknown |
| Dolcini Capital Management CRD: 118076 | - | 0 | 1 | - | Unknown |
| Dole Capital, LLC CRD: 44210 | - | 0 | 0 | A | INACTIVE |
| Doley Securities, LLC. CRD: 7081 | - | 19 | 0 | F | INACTIVE |
| Doliver Advisors, L.P. CRD: 106247 | - | 0 | 2 | - | Unknown |
| Doll Capital Advisors Incorporated CRD: 134089 | - | 0 | 1 | - | Unknown |
| Dollar & Sense CRD: 129210 | - | 0 | 2 | - | Unknown |
| Dollar Directors, Inc. CRD: 1663 | - | 0 | 0 | A | INACTIVE |