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 |
|---|---|---|---|---|---|
| Dunamis Asset Management HK Limited CRD: 340901 | - | 0 | 0 | - | Unknown |
| Dunamis Asset Management Limited CRD: 332149 | - | 0 | 0 | - | Unknown |
| Dunamis Capital Consulting, LLC CRD: 304922 | - | 0 | 1 | - | Unknown |
| Dunamis Investment LLC CRD: 139781 | - | 0 | 0 | - | Unknown |
| Dunav Group LLC CRD: 169356 | - | 0 | 0 | - | Unknown |
| Dunbar CRD: 338510 | - | 0 | 1 | - | Unknown |
| Dunbar Associates, LLC CRD: 323134 | - | 0 | 1 | - | Unknown |
| Dunbar Capital Investors, LLC CRD: 138447 | - | 0 | 0 | - | Unknown |
| Duncan & Haley, Ltd. CRD: 109900 | - | 0 | 1 | - | Unknown |
| Duncan Asset Management CRD: 134546 | - | 0 | 0 | - | Unknown |
| Duncan Campbell & Company CRD: 10407 | - | 0 | 0 | A | INACTIVE |
| Duncan Capital LLC CRD: 27332 | - | 2 | 0 | B | INACTIVE |
| Duncan Financial Group, LLC CRD: 131102 | - | 0 | 3 | - | Unknown |
| Duncan Financial Management, Inc. CRD: 150849 | - | 0 | 4 | - | Unknown |
| Duncan Financial Planning Advisors CRD: 309454 | - | 0 | 25 | - | Unknown |
| Duncan Wealth Management, LLC CRD: 335025 | - | 0 | 1 | - | Unknown |
| Duncan Williams Asset Management, LLC CRD: 174809 | - | 0 | 1 | - | Unknown |
| Duncan, Cook Financial Corp. CRD: 16571 | - | 0 | 0 | A | INACTIVE |
| Duncan, Dean Bryan CRD: 155151 | - | 0 | 1 | - | Unknown |
| Duncan-Smith Securities, Inc. CRD: 45030 | - | 0 | 0 | A | INACTIVE |
| Duncker Streett & Co. CRD: 110828 | - | 0 | 1 | - | Unknown |
| Dundas Global Investors CRD: 197522 | - | 0 | 0 | - | Unknown |
| Dundee Maestro Management, LP CRD: 329808 | - | 0 | 1 | - | Unknown |
| Dundee Securities Corp. CRD: 16300 | - | 0 | 0 | A | INACTIVE |
| Dundee VC Management LLC CRD: 164403 | - | 0 | 1 | - | Unknown |
| Dundon Advisers LLC CRD: 287474 | - | 0 | 0 | - | Unknown |
| Dune Real Estate Partners LP CRD: 157455 | - | 0 | 1 | - | Unknown |
| Dunedain Capital L.L.C. CRD: 326651 | - | 0 | 1 | - | Unknown |
| Dunedin LLP CRD: 161088 | - | 0 | 0 | - | Unknown |
| Dunepark CRD: 171602 | - | 0 | 0 | - | Unknown |
| Dunes Financial CRD: 334836 | - | 0 | 2 | - | Unknown |
| Dunes Point Capital, L.P. CRD: 172538 | - | 0 | 1 | - | Unknown |
| Dunes Securities Corporation CRD: 127394 | - | 2 | 0 | B | INACTIVE |
| Dunham CRD: 13162 | CA | 4 | 12 | B | Active |
| Dunham Capital Management Corporation CRD: 16352 | - | 0 | 0 | A | INACTIVE |
| Dunham Capital Management Corporation CRD: 26652 | - | 0 | 0 | A | INACTIVE |
| Dunham Lane Capital Partners LLC CRD: 283276 | - | 0 | 2 | - | Unknown |
| Dunham Partners CRD: 158592 | - | 0 | 1 | - | Unknown |
| Dunhill & Company, LLC CRD: 289213 | - | 0 | 2 | - | Unknown |
| Dunhill Equities, Inc. CRD: 21822 | - | 0 | 0 | A | INACTIVE |
| Dunhill Financial CRD: 288211 | - | 0 | 0 | - | Unknown |
| Dunhill Management Group, Ltd. CRD: 16320 | - | 0 | 0 | A | INACTIVE |
| Dunhill Securities Inc. CRD: 17588 | - | 0 | 0 | A | INACTIVE |
| Dunhill, Lord & Company CRD: 16948 | - | 0 | 0 | A | INACTIVE |
| Duniya Trade, Inc. CRD: 150616 | - | 0 | 0 | A | INACTIVE |
| Dunlap Equity Management, LLC. CRD: 130996 | - | 0 | 1 | - | Unknown |
| Dunlevy & Co., Incorporated CRD: 7696 | - | 0 | 0 | A | INACTIVE |
| Dunlop Financial CRD: 283706 | - | 0 | 0 | - | Unknown |
| Dunman Resources, Inc. CRD: 16799 | - | 0 | 0 | A | INACTIVE |
| Dunmor Associates, Inc. CRD: 29520 | - | 0 | 0 | A | INACTIVE |