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 |
|---|---|---|---|---|---|
| Douglas W. Jones Associates Financial & Insurance … CRD: 112862 | - | 0 | 3 | - | Unknown |
| Douglas William Degain CRD: 124437 | - | 0 | 1 | - | Unknown |
| Douglas/Konrady & Associates, Inc. CRD: 142076 | - | 0 | 0 | - | Unknown |
| Douglasbradley LLC CRD: 119007 | - | 0 | 3 | - | Unknown |
| Douglass Financial Group CRD: 167140 | - | 0 | 2 | - | Unknown |
| Douglass Investment Group CRD: 331223 | - | 0 | 1 | - | Unknown |
| Douglass Winthrop Advisors LLC CRD: 108680 | - | 0 | 2 | - | Unknown |
| Douugh Wealth CRD: 312558 | - | 0 | 0 | - | Unknown |
| Dove Financial Coaching CRD: 297978 | - | 0 | 0 | - | Unknown |
| Dove Investment Research and Management, Inc. CRD: 300058 | - | 0 | 1 | - | Unknown |
| Dove Securities, (Inc.) CRD: 25930 | - | 0 | 0 | A | INACTIVE |
| Dovedale Investments, LLC CRD: 164745 | - | 0 | 0 | - | Unknown |
| Dover Advisors, LLC CRD: 320832 | - | 0 | 2 | - | Unknown |
| Dover Group, Inc. CRD: 16809 | - | 0 | 0 | A | INACTIVE |
| Dover Hills Financial CRD: 128648 | - | 0 | 0 | - | Unknown |
| Dover Investment Advisory Corporation CRD: 123499 | - | 0 | 2 | - | Unknown |
| Dover Partners Inc CRD: 105133 | - | 0 | 2 | - | Unknown |
| Dovermont Wealth & TAX Solutions CRD: 336294 | - | 0 | 1 | - | Unknown |
| Dovetail Capital Management, LLC CRD: 301205 | - | 0 | 0 | - | Unknown |
| Dovetail Financial CRD: 167468 | - | 0 | 0 | - | Unknown |
| Dovetail Financial Group LLC CRD: 311298 | - | 0 | 2 | - | Unknown |
| Dovetail Investment Management CRD: 333994 | - | 0 | 0 | - | Unknown |
| Dovetail Wealth Management, LLC CRD: 291068 | - | 0 | 1 | - | Unknown |
| Doviak Securities, Inc. CRD: 22868 | - | 0 | 0 | A | INACTIVE |
| DOW Capital Management, LLC CRD: 156293 | - | 0 | 0 | - | Unknown |
| DOW Family Office Advisory, LLC CRD: 340475 | - | 0 | 4 | - | Unknown |
| DOW Rockwell LLC CRD: 133307 | - | 0 | 0 | - | Unknown |
| DOW, Owen & Co., Inc. CRD: 22707 | - | 0 | 0 | A | INACTIVE |
| Dowd Financial Planning CRD: 152474 | - | 0 | 2 | - | Unknown |
| Dowdell Securities, Inc. CRD: 22899 | - | 0 | 0 | A | INACTIVE |
| Doweidt Investments CRD: 299300 | - | 0 | 0 | - | Unknown |
| Dower Strategic Capital, Inc. CRD: 155683 | - | 0 | 0 | - | Unknown |
| Dowler and Beekman Inc. CRD: 15590 | - | 0 | 0 | A | INACTIVE |
| Dowling & Partners Securities LLC CRD: 24746 | CT | 0 | 6 | A | Active |
| Dowling & Yahnke, LLC CRD: 107672 | - | 0 | 0 | - | Unknown |
| Dowling Capital Partners CRD: 161475 | - | 0 | 0 | - | Unknown |
| Dowmar Securities, Inc. CRD: 13422 | - | 0 | 0 | A | INACTIVE |
| Down Under Options, LP CRD: 121675 | - | 0 | 0 | A | INACTIVE |
| Downey Capital Management, Inc. CRD: 133317 | - | 0 | 1 | - | Unknown |
| Downie Financial Group CRD: 289066 | - | 0 | 1 | - | Unknown |
| Downing & Co., Inc. CRD: 14144 | - | 1 | 0 | B | INACTIVE |
| Downing Capital Group CRD: 318093 | - | 0 | 1 | - | Unknown |
| Downing Street Wealth Management LLC CRD: 152983 | - | 0 | 1 | - | Unknown |
| Downriver Capital Management LLC CRD: 152848 | - | 0 | 0 | - | Unknown |
| Downshift Financial CRD: 314068 | - | 0 | 2 | - | Unknown |
| Downstate Securities Group, Inc. CRD: 8686 | - | 0 | 0 | A | INACTIVE |
| Downstream Perennial Management LLC CRD: 324112 | - | 0 | 1 | - | Unknown |
| Downtown Associates, L.L.C. CRD: 136111 | - | 0 | 0 | - | Unknown |
| Downtown Investment Advisory CRD: 168812 | - | 0 | 2 | - | Unknown |
| Downtown Wealth Studios LLC CRD: 320611 | - | 0 | 0 | - | Unknown |