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 |
|---|---|---|---|---|---|
| Double Haven Capital (Hong Kong) Limited CRD: 166259 | - | 0 | 0 | - | Unknown |
| Double Haven Capital Management Limited CRD: 288381 | - | 0 | 0 | - | Unknown |
| Double I Investments, LLC CRD: 315372 | - | 0 | 1 | - | Unknown |
| Double River Management Limited CRD: 338022 | - | 0 | 1 | - | Unknown |
| Double Seven Wealth Group, LLC CRD: 306038 | - | 0 | 1 | - | Unknown |
| Double Springs Capital LLC CRD: 296927 | - | 0 | 1 | - | Unknown |
| Double Time Capital Management, LP CRD: 281899 | - | 0 | 0 | - | Unknown |
| Doubleblue Capital Management L.P. CRD: 281660 | - | 0 | 0 | - | Unknown |
| Doubleline Alternatives LP CRD: 175212 | - | 0 | 1 | - | Unknown |
| Doubleline Capital LP CRD: 152606 | - | 0 | 1 | - | Unknown |
| Doubleline Equity LP CRD: 166732 | - | 0 | 0 | - | Unknown |
| Doubleline ETF Adviser LP CRD: 317415 | - | 0 | 1 | - | Unknown |
| Doucet Asset Management, LLC CRD: 141546 | - | 0 | 2 | - | Unknown |
| Doucette Financial CRD: 334941 | - | 0 | 2 | - | Unknown |
| Doug Davis CRD: 142314 | - | 0 | 0 | - | Unknown |
| Dougall & Associates Inc. CRD: 42324 | IN | 3 | 3 | B | Active |
| Dough LLC CRD: 148243 | - | 1 | 0 | B | INACTIVE |
| Dougherty & Associates Financial Advisors, Inc. CRD: 165145 | - | 0 | 1 | - | Unknown |
| Dougherty & Company, Inc. CRD: 31575 | - | 0 | 0 | A | INACTIVE |
| Dougherty Dawkins LLC CRD: 7442 | - | 0 | 0 | A | INACTIVE |
| Dougherty Financial Planning, LLC CRD: 317397 | - | 0 | 2 | - | Unknown |
| Dougherty Investment Advisors CRD: 142284 | - | 0 | 2 | - | Unknown |
| Dougherty Wealth Management CRD: 149768 | - | 0 | 0 | - | Unknown |
| Doughton & Associates, LLC CRD: 306520 | - | 0 | 0 | - | Unknown |
| Doughty Hanson & Co Managers Limited CRD: 160863 | - | 0 | 0 | - | Unknown |
| Doughty Hanson & Co Securities, Inc. CRD: 103753 | - | 0 | 0 | A | INACTIVE |
| Douglas & Co. Municipals, Inc. CRD: 7176 | - | 0 | 0 | A | INACTIVE |
| Douglas a. Mcclennen IA CRD: 142602 | - | 0 | 2 | - | Unknown |
| Douglas Anderson, III CRD: 114906 | - | 0 | 1 | - | Unknown |
| Douglas Bremen & Co., Inc. CRD: 13186 | - | 0 | 0 | A | INACTIVE |
| Douglas Brian Neyland CRD: 113095 | - | 0 | 1 | - | Unknown |
| Douglas C. Lane & Associates CRD: 282563 | - | 0 | 4 | - | Unknown |
| Douglas Capital Advisors CRD: 315059 | - | 0 | 1 | - | Unknown |
| Douglas Capital Management Inc CRD: 106262 | - | 0 | 2 | - | Unknown |
| Douglas Capital Management, LLC CRD: 143585 | - | 0 | 2 | - | Unknown |
| Douglas Capital Markets, Inc. CRD: 21272 | - | 0 | 0 | A | INACTIVE |
| Douglas Capital Strategies, Inc. CRD: 138182 | - | 0 | 0 | - | Unknown |
| Douglas E. Macrae CRD: 131196 | - | 0 | 0 | - | Unknown |
| Douglas F. Brown Financial Services, Inc. CRD: 7496 | - | 0 | 0 | A | INACTIVE |
| Douglas J. Crafts Financial Services CRD: 129333 | - | 0 | 0 | - | Unknown |
| Douglas J. Lyons Financial Group Inc. CRD: 154905 | - | 0 | 0 | - | Unknown |
| Douglas James Securities, Inc. CRD: 29492 | - | 2 | 0 | B | INACTIVE |
| Douglas James Securities, Inc. CRD: 22896 | - | 0 | 0 | A | INACTIVE |
| Douglas S. Winter, Inc. CRD: 33428 | - | 0 | 0 | A | INACTIVE |
| Douglas Scott Securities, Inc. CRD: 39032 | TX | 1 | 2 | B | Active |
| Douglas Securities, Inc. CRD: 23293 | - | 0 | 0 | A | INACTIVE |
| Douglas Securities, Ltd. CRD: 8306 | - | 0 | 0 | A | INACTIVE |
| Douglas Smith & Company CRD: 18605 | - | 0 | 0 | A | INACTIVE |
| Douglas Stewart Incorporated CRD: 228 | - | 0 | 0 | A | INACTIVE |
| Douglas Vincent Associates, Inc. CRD: 13619 | - | 0 | 0 | A | INACTIVE |