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 |
|---|---|---|---|---|---|
| Dunmore Trading LLC CRD: 152594 | - | 0 | 0 | A | INACTIVE |
| Dunmoyle Capital Advisors, LLC CRD: 153667 | - | 0 | 0 | - | Unknown |
| Dunn Capital Management CRD: 328632 | - | 0 | 1 | - | Unknown |
| Dunn Financial Advisors, LLC CRD: 116173 | - | 0 | 2 | - | Unknown |
| Dunn Johnston & Company, Inc. CRD: 43243 | - | 0 | 0 | A | INACTIVE |
| Dunn Management Group, Inc. CRD: 128630 | - | 0 | 0 | - | Unknown |
| Dunn Rush & Co. LLC CRD: 150769 | MA | 0 | 2 | A | Active |
| Dunn Securities Corporation CRD: 10858 | - | 0 | 0 | A | INACTIVE |
| Dunn Securities, LLC CRD: 305349 | FL | 0 | 2 | A | Active |
| Dunnavan & Co. CRD: 109058 | - | 0 | 1 | - | Unknown |
| Dunner Capital Advisers LLC CRD: 158848 | - | 0 | 0 | - | Unknown |
| Dunphy Wealth Management, Inc. CRD: 128622 | - | 0 | 1 | - | Unknown |
| Dunrobin Ventures, LLC. CRD: 174736 | - | 0 | 0 | - | Unknown |
| Dunston Financial Group, LLC CRD: 226692 | - | 0 | 0 | - | Unknown |
| Dunton Ammon Gresham JR CRD: 112070 | - | 0 | 0 | - | Unknown |
| Dunvegan Associates Inc CRD: 108603 | - | 0 | 2 | - | Unknown |
| Dunwoody Brokerage Services, Inc. CRD: 31183 | - | 3 | 0 | C | INACTIVE |
| DUO Reges Capital Management LLC CRD: 297660 | - | 0 | 0 | - | Unknown |
| DUO Retirement Planning, LLC CRD: 330315 | - | 0 | 0 | - | Unknown |
| Duomo Capital CRD: 331703 | - | 0 | 2 | - | Unknown |
| Dupont Advisory Group CRD: 153304 | - | 0 | 0 | - | Unknown |
| Dupont Capital Management CRD: 107145 | - | 0 | 1 | - | Unknown |
| Dupont Capital Management Marketing Corporation CRD: 144899 | - | 0 | 0 | A | INACTIVE |
| Dupont Securities Group, Inc. CRD: 42305 | - | 14 | 0 | D | INACTIVE |
| Dupont, White & Stone, Inc. CRD: 23826 | - | 0 | 0 | A | INACTIVE |
| Dupree & Company, Inc. CRD: 1697 | KY | 2 | 3 | B | Active |
| Dupree Financial Group, LLC CRD: 131091 | - | 0 | 3 | - | Unknown |
| Dupreff Securities,Ltd. CRD: 13811 | - | 0 | 0 | A | INACTIVE |
| Durable Capital Partners LP CRD: 305221 | - | 0 | 1 | - | Unknown |
| Durable Dividend Growth Strategies, L.P. CRD: 318676 | - | 0 | 1 | - | Unknown |
| Duracapital CRD: 289189 | - | 0 | 2 | - | Unknown |
| Duran Capital Management, LLC CRD: 321779 | - | 0 | 1 | - | Unknown |
| Durant Financial Planning LLC CRD: 306246 | - | 0 | 1 | - | Unknown |
| Durant Partners LLC CRD: 294824 | - | 0 | 0 | - | Unknown |
| Durant Partners LLC CRD: 286226 | - | 0 | 0 | - | Unknown |
| Durant Wealth MGMT Advisory Services CRD: 166863 | - | 0 | 1 | - | Unknown |
| Duration Asset Management, LLC CRD: 298651 | - | 0 | 3 | - | Unknown |
| Duration Capital Partners LLC CRD: 329842 | - | 0 | 1 | - | Unknown |
| Durational Capital Management LP CRD: 291371 | - | 0 | 1 | - | Unknown |
| Durham Securities Corporation CRD: 16459 | - | 0 | 0 | A | INACTIVE |
| Durham Securities Corporation CRD: 103876 | - | 0 | 0 | A | INACTIVE |
| Durham Wealth Management, LLC CRD: 284264 | - | 0 | 1 | - | Unknown |
| Durian Securities, Inc. CRD: 16290 | - | 0 | 0 | A | INACTIVE |
| Durig Capital, Inc. CRD: 118452 | - | 0 | 0 | - | Unknown |
| Durkin Investment Group, LLC. CRD: 167370 | - | 0 | 1 | - | Unknown |
| Duro Capital (Singapore) Advisors PTE. Ltd. CRD: 306395 | - | 0 | 0 | - | Unknown |
| Duro Capital Limited CRD: 299463 | - | 0 | 0 | - | Unknown |
| Duro Ventures, LLC CRD: 297291 | - | 0 | 1 | - | Unknown |
| Durrant Asset Management, LLC CRD: 331233 | - | 0 | 1 | - | Unknown |
| Durrett, Donald David CRD: 315700 | - | 0 | 0 | - | Unknown |