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 |
|---|---|---|---|---|---|
| Downtown Wealth Studios, LLC CRD: 325213 | - | 0 | 5 | - | Unknown |
| Doxa Advisors, LLC CRD: 157886 | - | 0 | 0 | - | Unknown |
| Doxa Capital, LLC CRD: 174851 | - | 0 | 3 | - | Unknown |
| Doxara Capital LP CRD: 339621 | - | 0 | 1 | - | Unknown |
| Doyenne Wealth Advisors CRD: 315995 | - | 0 | 1 | - | Unknown |
| Doyens Capital Management Inc. CRD: 287470 | - | 0 | 0 | - | Unknown |
| Doyle a. Ranstrom Consulting, LLC CRD: 290861 | - | 0 | 0 | - | Unknown |
| Doyle Asset Management, LLC CRD: 165283 | - | 0 | 0 | - | Unknown |
| Doyle Fund Management, LLC CRD: 161499 | - | 0 | 0 | - | Unknown |
| Doyle Investment Management CRD: 137767 | - | 0 | 1 | - | Unknown |
| Doyle, Inc. CRD: 144141 | - | 0 | 0 | A | INACTIVE |
| Doyle, Miles & Co., LLC CRD: 115740 | - | 1 | 0 | B | INACTIVE |
| Doza Investments, LLC CRD: 150944 | - | 0 | 0 | - | Unknown |
| Dozier Whelan Securities, Inc. CRD: 15958 | - | 0 | 0 | A | INACTIVE |
| DP Asset Management, Inc. CRD: 42737 | - | 2 | 0 | B | INACTIVE |
| DP Asset Management, LLC CRD: 163603 | - | 0 | 0 | - | Unknown |
| DP Capital Management Inc. CRD: 145776 | - | 0 | 1 | - | Unknown |
| DP Costa LLC CRD: 339877 | - | 0 | 1 | - | Unknown |
| DP Equity Investments LLC CRD: 315283 | - | 0 | 1 | - | Unknown |
| DP Financial CRD: 312428 | - | 0 | 0 | - | Unknown |
| DP Grow LLC CRD: 308412 | - | 0 | 1 | - | Unknown |
| DP Waters Wealth Management LLC CRD: 304875 | - | 0 | 0 | - | Unknown |
| DPC Financial Planning CRD: 112619 | - | 0 | 0 | - | Unknown |
| DPC Wealth Advisory Services, LLC. CRD: 305230 | - | 0 | 1 | - | Unknown |
| DPCM CRD: 150717 | - | 0 | 1 | - | Unknown |
| DPE Deutsche Private Equity Gesellschaft MBH CRD: 166573 | - | 0 | 0 | - | Unknown |
| DPE Deutsche Private Equity Management III GMBH CRD: 308103 | - | 0 | 0 | - | Unknown |
| DPE Investment Gesellschaft MBH CRD: 313751 | - | 0 | 0 | - | Unknown |
| Dpec Capital, Inc. CRD: 103737 | - | 8 | 0 | D | INACTIVE |
| DPF Administrative Services, Inc. CRD: 14237 | - | 0 | 0 | A | INACTIVE |
| DPH Advisors, LLC CRD: 279038 | - | 0 | 0 | - | Unknown |
| DPH Financial CRD: 174893 | - | 0 | 2 | - | Unknown |
| DPI Management Ltd CRD: 173316 | - | 0 | 0 | - | Unknown |
| DPI Securities Corporation CRD: 8398 | - | 0 | 0 | A | INACTIVE |
| DPL Retirement Advisors, L.L.C. CRD: 157312 | - | 0 | 0 | - | Unknown |
| DPM Capital LLC CRD: 289313 | - | 0 | 0 | - | Unknown |
| DPM Wealth Management, Inc. CRD: 126541 | - | 0 | 1 | - | Unknown |
| DPP Securities, Inc. CRD: 35461 | - | 0 | 0 | A | INACTIVE |
| DQR CRD: 315420 | - | 0 | 0 | - | Unknown |
| DR Financial Planning LLC CRD: 314375 | - | 0 | 0 | - | Unknown |
| DR. Jeff Finance, LLC CRD: 330181 | - | 0 | 2 | - | Unknown |
| DR. Joel Lang - Financial Planning CRD: 120258 | - | 0 | 0 | - | Unknown |
| DRA Advisors LLC CRD: 106311 | - | 0 | 1 | - | Unknown |
| Dracaena Capital Management, LLC CRD: 298767 | - | 0 | 0 | - | Unknown |
| Drach Advisors LLC CRD: 140247 | - | 0 | 1 | - | Unknown |
| Draco Capital Partners, LLC CRD: 306055 | - | 0 | 0 | - | Unknown |
| Draco Evolution CRD: 329860 | - | 0 | 0 | - | Unknown |
| Draft Ventures LLC CRD: 305005 | - | 0 | 1 | - | Unknown |
| Drago Trading, L.L.C. CRD: 143834 | - | 0 | 0 | A | INACTIVE |
| Dragon Capital Management (HK) Limited CRD: 287890 | - | 0 | 0 | - | Unknown |