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 |
|---|---|---|---|---|---|
| Dorchester Wealth Management Company CRD: 221519 | - | 0 | 0 | - | Unknown |
| Dorfman Funding Corp. CRD: 13834 | - | 0 | 0 | A | INACTIVE |
| Dorfman Securities, Inc. CRD: 31849 | - | 2 | 0 | B | INACTIVE |
| Dorfman Value Investments LLC CRD: 120911 | - | 0 | 1 | - | Unknown |
| Dorgeolis Capital LLC CRD: 316653 | - | 0 | 1 | - | Unknown |
| Dorian Eason Asset Management, LLC CRD: 113724 | - | 0 | 1 | - | Unknown |
| Dorian Investment Advisory LLC CRD: 339280 | - | 0 | 1 | - | Unknown |
| Doric Capital Corporation CRD: 283925 | - | 0 | 0 | - | Unknown |
| Doric Corporation CRD: 158155 | - | 0 | 0 | A | INACTIVE |
| Dorm Room Fund CRD: 341745 | - | 0 | 1 | - | Unknown |
| Dorman Financial Management, P.A. CRD: 136881 | - | 0 | 1 | - | Unknown |
| Dorn & Co., Inc. CRD: 2950 | MN | 3 | 4 | B | Active |
| Dorn Financial CRD: 147068 | - | 0 | 0 | - | Unknown |
| Dornbusch Asset Management CRD: 113595 | - | 0 | 1 | - | Unknown |
| Dornick Wealth Management CRD: 335053 | - | 0 | 2 | - | Unknown |
| Dorothy J. Cole CRD: 116607 | - | 0 | 2 | - | Unknown |
| Dorsal Capital Management, LP CRD: 160224 | - | 0 | 1 | - | Unknown |
| Dorset Asset Management LLC. CRD: 169451 | - | 0 | 0 | - | Unknown |
| Dorset Management Corporation CRD: 159979 | - | 0 | 0 | - | Unknown |
| Dorset Peak Securities LLC CRD: 312209 | NJ | 0 | 2 | A | Active |
| Dorsey & Company, Inc. CRD: 1668 | - | 15 | 0 | D | INACTIVE |
| Dorsey Asset Management CRD: 169056 | - | 0 | 1 | - | Unknown |
| Dorsey Capital Management CRD: 131519 | - | 0 | 0 | - | Unknown |
| Dorsey Groomes Wealth Management CRD: 333086 | - | 0 | 1 | - | Unknown |
| Dorsey Wealth Management, LLC CRD: 158752 | - | 0 | 1 | - | Unknown |
| Dortch Securities & Investments, Inc. CRD: 42207 | - | 1 | 0 | B | INACTIVE |
| Dortheimer, Michael Kenneth CRD: 128613 | - | 0 | 0 | A | INACTIVE |
| Dorval & Chorne Financial Advisors CRD: 309512 | - | 0 | 2 | - | Unknown |
| Doster Financial Planning CRD: 150974 | - | 0 | 0 | - | Unknown |
| Dotch Capital CRD: 312659 | - | 0 | 1 | - | Unknown |
| Doty Equity Advisors, Inc. CRD: 113351 | - | 0 | 2 | - | Unknown |
| Doty, Mclaurin & Taylor, Inc. CRD: 7104 | - | 0 | 0 | A | INACTIVE |
| Douat Financial CRD: 311394 | - | 0 | 0 | - | Unknown |
| Double Alpha Partners, L.P. CRD: 36365 | - | 0 | 0 | A | INACTIVE |
| Double BAY Management & Planning CRD: 136373 | - | 0 | 2 | - | Unknown |
| Double Diamond Index, LLC CRD: 103788 | - | 0 | 0 | A | INACTIVE |
| Double Diamond Investment Group, LLC CRD: 152755 | - | 0 | 1 | - | Unknown |
| Double Digit Capital, LLC CRD: 171806 | - | 0 | 1 | - | Unknown |
| Double Duty Money Management LLC CRD: 326792 | - | 0 | 1 | - | Unknown |
| Double Eagle Advisers, LLC CRD: 298051 | - | 0 | 0 | - | Unknown |
| Double Eagle Capital Management LP CRD: 135522 | - | 0 | 1 | - | Unknown |
| Double Eagle Capital Management, LLC CRD: 136551 | - | 0 | 0 | - | Unknown |
| Double Eagle Family Offices, LLC CRD: 315523 | - | 0 | 1 | - | Unknown |
| Double Eagle Financial CRD: 137331 | - | 0 | 2 | - | Unknown |
| Double Eagle Partners CRD: 128563 | - | 0 | 0 | - | Unknown |
| Double Eagle Partners, LLC CRD: 321963 | - | 0 | 1 | - | Unknown |
| Double Eagle Securities of America, Inc. CRD: 43844 | - | 1 | 0 | B | INACTIVE |
| Double Eagle Trading Company, LLC CRD: 103813 | - | 0 | 0 | A | INACTIVE |
| Double Eagle Wealth Management LLC CRD: 330398 | - | 0 | 1 | - | Unknown |
| Double Finance Inc. CRD: 329617 | - | 0 | 0 | - | Unknown |