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 |
|---|---|---|---|---|---|
| Durus Capital, LLC CRD: 311561 | - | 0 | 0 | - | Unknown |
| Dushane Management, Inc. CRD: 168673 | - | 0 | 1 | - | Unknown |
| Dustin Rippetoe LLC CRD: 341473 | - | 0 | 2 | - | Unknown |
| Dutch Asset Corporation CRD: 170884 | - | 0 | 2 | - | Unknown |
| Duttenhofer Advisory Group CRD: 131386 | - | 0 | 0 | - | Unknown |
| Dutton Financial Planning, LLC CRD: 328563 | - | 0 | 1 | - | Unknown |
| Duval Investment Group CRD: 166887 | - | 0 | 1 | - | Unknown |
| Duvall Wealth Management LLC CRD: 339034 | - | 0 | 1 | - | Unknown |
| DUX Capital Management US, LLC CRD: 329220 | - | 0 | 1 | - | Unknown |
| DV Capital Advisors, LLC CRD: 330325 | - | 0 | 1 | - | Unknown |
| DV Capital Management, LLC CRD: 147013 | - | 0 | 1 | - | Unknown |
| DV Equities CRD: 312688 | IL | 0 | 1 | A | Active |
| DV Financial Services, LLC CRD: 167107 | - | 0 | 0 | A | INACTIVE |
| DV Investment Management, LLC CRD: 311682 | - | 0 | 0 | - | Unknown |
| DV Kill Advisory Services, LLC CRD: 172883 | - | 0 | 1 | - | Unknown |
| DV Partners Management CRD: 308908 | - | 0 | 0 | - | Unknown |
| DV Securities, LLC CRD: 284804 | - | 0 | 0 | A | INACTIVE |
| DV Securities, LLC CRD: 305134 | IL | 0 | 3 | A | Active |
| DV Seed Fund Management, LLC CRD: 327722 | - | 0 | 1 | - | Unknown |
| DVB Bank SE CRD: 166533 | - | 0 | 0 | - | Unknown |
| DVB Capital Markets LLC CRD: 138349 | - | 0 | 0 | A | INACTIVE |
| DVB Private Wealth CRD: 341684 | - | 0 | 1 | - | Unknown |
| Dvdendo, Inc. CRD: 175435 | - | 0 | 0 | - | Unknown |
| DVM Asset Management CRD: 124202 | - | 0 | 0 | - | Unknown |
| DVO Real Estate LLC CRD: 242797 | - | 0 | 0 | - | Unknown |
| Dvorchak & Associates CRD: 139551 | - | 0 | 1 | - | Unknown |
| DVR Enterprises, Inc. CRD: 150639 | - | 0 | 0 | - | Unknown |
| DW Analytics CRD: 304213 | - | 0 | 0 | - | Unknown |
| DW Capital Management LLC CRD: 332455 | - | 0 | 1 | - | Unknown |
| DW Financial Inc CRD: 136882 | - | 0 | 2 | - | Unknown |
| DW Healthcare Partners CRD: 160555 | - | 0 | 1 | - | Unknown |
| DW Huff Advisory CRD: 332064 | - | 0 | 1 | - | Unknown |
| DW Investment Solutions, Inc. CRD: 150471 | - | 0 | 1 | - | Unknown |
| DW Kapital, Inc. CRD: 131262 | - | 0 | 0 | - | Unknown |
| DW Partners, LP CRD: 155459 | - | 0 | 1 | - | Unknown |
| DW West Investments LLC CRD: 338947 | - | 0 | 1 | - | Unknown |
| Dwayne Anthony Verley, CPA CRD: 310131 | - | 0 | 1 | - | Unknown |
| DWD Partners, LLC CRD: 286217 | - | 0 | 0 | - | Unknown |
| DWD Portfolio Solutions, Inc. CRD: 121435 | - | 0 | 1 | - | Unknown |
| DWE Capital Markets, Inc. CRD: 17428 | - | 0 | 0 | A | INACTIVE |
| Dwight Securities Management LLC CRD: 174984 | - | 0 | 1 | - | Unknown |
| DWM Asset Management, LLC CRD: 143224 | - | 0 | 1 | - | Unknown |
| DWM Family Wealth CRD: 299949 | - | 0 | 1 | - | Unknown |
| DWM Finance LLC CRD: 137513 | CT | 0 | 2 | A | Active |
| Dwojeski, John J CRD: 129491 | - | 0 | 1 | - | Unknown |
| Dworetsky Financial CRD: 327536 | - | 0 | 0 | - | Unknown |
| DWP CRD: 121841 | - | 0 | 4 | - | Unknown |
| DWP Investment Management, LLC CRD: 156684 | - | 0 | 2 | - | Unknown |
| DWP Investments LLC CRD: 127619 | - | 0 | 0 | A | INACTIVE |
| DWR Wealth Management, LLC CRD: 133743 | - | 0 | 4 | - | Unknown |