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 |
|---|---|---|---|---|---|
| DSM Capital Wealth Management, LLC CRD: 289476 | - | 0 | 0 | - | Unknown |
| DSM Financial L.L.C. CRD: 301372 | - | 0 | 1 | - | Unknown |
| DSP Asset Managers Private Limited CRD: 319142 | - | 0 | 0 | - | Unknown |
| DSP Securities, LLC CRD: 298048 | PA | 0 | 2 | A | Active |
| DST Investments, LLC CRD: 306402 | - | 0 | 0 | - | Unknown |
| DST Managers IX Limited CRD: 318219 | - | 0 | 0 | - | Unknown |
| DST Managers Limited CRD: 161711 | - | 0 | 0 | - | Unknown |
| DST Managers V Limited CRD: 281523 | - | 0 | 0 | - | Unknown |
| DST Managers VI Limited CRD: 300732 | - | 0 | 0 | - | Unknown |
| DST Managers VII Limited CRD: 307663 | - | 0 | 0 | - | Unknown |
| DST Managers Viii Limited CRD: 313723 | - | 0 | 0 | - | Unknown |
| DST Managers X Limited CRD: 337567 | - | 0 | 0 | - | Unknown |
| DST Securities, Inc. CRD: 8129 | - | 3 | 0 | C | INACTIVE |
| DST Sherpa CRD: 334922 | - | 0 | 2 | - | Unknown |
| DST Wealth Management LLC CRD: 302110 | - | 0 | 4 | - | Unknown |
| DSW Investment, LLC CRD: 156697 | - | 0 | 2 | - | Unknown |
| DSX Inc CRD: 31451 | - | 1 | 0 | B | INACTIVE |
| DT Capital CRD: 162457 | - | 0 | 0 | - | Unknown |
| DT Investment Management Ifsc LLP CRD: 334387 | - | 0 | 0 | - | Unknown |
| DT Investment Partners, LLC CRD: 157646 | - | 0 | 1 | - | Unknown |
| DT Investments I LLC CRD: 168117 | - | 0 | 2 | - | Unknown |
| Dtcarson Asset Management CRD: 285715 | - | 0 | 1 | - | Unknown |
| DTCP USA LLC CRD: 297884 | - | 0 | 1 | - | Unknown |
| DTG Capital Management LLC CRD: 315862 | - | 0 | 0 | - | Unknown |
| DTI Financial, Inc. CRD: 18369 | - | 0 | 0 | A | INACTIVE |
| DTM Advisory Group LLC CRD: 288452 | - | 0 | 2 | - | Unknown |
| DTM Associates, Inc. CRD: 13672 | - | 0 | 0 | A | INACTIVE |
| DTM3 Corporation CRD: 154339 | - | 0 | 1 | - | Unknown |
| DTRT Advisors, LLC CRD: 150756 | - | 0 | 0 | - | Unknown |
| DTX VC LLC CRD: 336772 | - | 0 | 1 | - | Unknown |
| DU LAC Investment Group, LLC CRD: 154112 | - | 0 | 1 | - | Unknown |
| DU Pasquier & Co., Inc. CRD: 24750 | - | 3 | 0 | C | INACTIVE |
| DU Pont Lauder & Company CRD: 17696 | - | 0 | 0 | A | INACTIVE |
| Dual Desert Wealth Management, LLC CRD: 335137 | - | 0 | 1 | - | Unknown |
| Dualitas CRD: 322597 | - | 0 | 0 | - | Unknown |
| Duality Group CRD: 293271 | - | 0 | 0 | - | Unknown |
| Duane Park Capital Management LP CRD: 285324 | - | 0 | 0 | - | Unknown |
| Duane Popp Planning and Consulting CRD: 124381 | - | 0 | 0 | - | Unknown |
| Duane Remsnyder & Co. CRD: 8066 | - | 0 | 0 | A | INACTIVE |
| Duane Street Capital BD LLC CRD: 299655 | - | 0 | 0 | A | INACTIVE |
| Dubeau Capital USA, Inc. CRD: 119222 | - | 2 | 0 | B | INACTIVE |
| Dubey Capital LLC CRD: 288545 | - | 0 | 0 | - | Unknown |
| Dubin Clark CRD: 282733 | - | 0 | 1 | - | Unknown |
| Dublin Wealth Management, Inc. CRD: 153475 | - | 0 | 1 | - | Unknown |
| Dublind Securities, Inc. CRD: 32534 | - | 4 | 0 | C | INACTIVE |
| Dubois Capital Management LLC CRD: 327589 | - | 0 | 1 | - | Unknown |
| Dubois Wealth Management, LLC CRD: 310487 | - | 0 | 1 | - | Unknown |
| Dubow, William P CRD: 45800 | - | 0 | 0 | A | INACTIVE |
| Dubuque Holding Company CRD: 2298 | - | 0 | 0 | A | INACTIVE |
| Ducenta Squared Asset Management CRD: 308920 | - | 0 | 2 | - | Unknown |