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 |
|---|---|---|---|---|---|
| Ducera Securities LLC CRD: 269984 | NY | 0 | 5 | A | Active |
| Ducere Wealth Management CRD: 337471 | - | 0 | 4 | - | Unknown |
| Ducharme Wealth Advisors, LLC CRD: 324659 | - | 0 | 2 | - | Unknown |
| Duck State Financial CRD: 336189 | - | 0 | 0 | - | Unknown |
| Duckett Advisors CRD: 131637 | - | 0 | 0 | - | Unknown |
| Duckett Wealth Management CRD: 321880 | - | 0 | 1 | - | Unknown |
| Duckworth Wealth Advisors, Inc. CRD: 108114 | - | 0 | 0 | - | Unknown |
| Dudley & Shanley, Inc. CRD: 157515 | - | 0 | 3 | - | Unknown |
| Dudley Capital Management LLC CRD: 282958 | - | 0 | 1 | - | Unknown |
| Dudman, Peter Charles CRD: 33676 | - | 0 | 0 | A | INACTIVE |
| DUE Diligence Works, Inc. CRD: 292572 | - | 0 | 2 | - | Unknown |
| DUE North Financial, LLC CRD: 285053 | - | 0 | 1 | - | Unknown |
| DUE West Wealth Advisors LLC CRD: 333294 | - | 0 | 1 | - | Unknown |
| Duell Financial Strategies CRD: 140283 | - | 0 | 2 | - | Unknown |
| Duell Wealth Preservation CRD: 155326 | - | 0 | 0 | - | Unknown |
| Duet Advisory Services LLC CRD: 283584 | - | 0 | 4 | - | Unknown |
| Duet Asset Management Ltd. CRD: 140642 | - | 0 | 0 | - | Unknown |
| Duet Finance Limited CRD: 163638 | - | 0 | 0 | - | Unknown |
| Duet USA Asset Management LLC CRD: 288122 | - | 0 | 0 | - | Unknown |
| Duff & Phelps Investment Management Co. CRD: 107296 | - | 0 | 1 | - | Unknown |
| Duff Ackerman & Goodrich CRD: 162149 | - | 0 | 0 | - | Unknown |
| Duff Financial Advisory Services CRD: 135550 | - | 0 | 0 | - | Unknown |
| Duffield Financial Group CRD: 117464 | - | 0 | 2 | - | Unknown |
| Duffy, Mark Francis CRD: 32171 | - | 0 | 0 | A | INACTIVE |
| Dugdale, James Clarence CRD: 32398 | - | 0 | 0 | A | INACTIVE |
| Duggal Asset Management, LLC CRD: 313193 | - | 0 | 1 | - | Unknown |
| Duhne Investments CRD: 311712 | - | 0 | 0 | - | Unknown |
| Duke & Co., Inc. CRD: 8035 | - | 0 | 0 | A | INACTIVE |
| Duke and Duke Wealth Management LLC CRD: 290184 | - | 0 | 1 | - | Unknown |
| Duke Capital Partners Securities, LLC CRD: 112765 | - | 0 | 0 | A | INACTIVE |
| Duke Financial Services CRD: 133024 | - | 0 | 3 | - | Unknown |
| Duke Funding Management, L.L.C. CRD: 117590 | - | 0 | 1 | - | Unknown |
| Duke Mcelroy & Company, Inc. CRD: 16319 | - | 0 | 0 | A | INACTIVE |
| Duke Street General Partner Limited CRD: 161435 | - | 0 | 0 | - | Unknown |
| Duke Street LLP CRD: 161437 | - | 0 | 0 | - | Unknown |
| Duke Street LLP CRD: 322011 | - | 0 | 0 | - | Unknown |
| Duke Street LLP CRD: 337674 | - | 0 | 0 | - | Unknown |
| Duke Street V Limited CRD: 283839 | - | 0 | 0 | - | Unknown |
| Dukes & Dukes Securities Corporation CRD: 13034 | - | 0 | 0 | A | INACTIVE |
| Dukes Financial Group, LLC CRD: 152512 | - | 0 | 1 | - | Unknown |
| Dukes Lane Investments LLC CRD: 302086 | - | 0 | 1 | - | Unknown |
| Dulaney Securities, Inc. CRD: 42736 | - | 0 | 0 | A | INACTIVE |
| Dulcet Capital Management, LP CRD: 173202 | - | 0 | 0 | - | Unknown |
| Dulles Capital Group, Inc. CRD: 36523 | - | 0 | 0 | A | INACTIVE |
| Dumaine Investments LLC CRD: 306481 | - | 0 | 1 | - | Unknown |
| Dumont & Blake Investment Advisors LLC CRD: 109318 | - | 0 | 2 | - | Unknown |
| Dumont Global LP CRD: 305883 | - | 0 | 1 | - | Unknown |
| Dumont Wealth CRD: 291981 | - | 0 | 1 | - | Unknown |
| DUN & Bradstreet Program Management Services, Inc. CRD: 17945 | - | 0 | 0 | A | INACTIVE |
| Dunamis Advisor Group LLC CRD: 285606 | - | 0 | 0 | - | Unknown |