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 |
|---|---|---|---|---|---|
| DWS Alternatives Global Limited CRD: 139526 | - | 0 | 0 | - | Unknown |
| DWS Distributors, Inc. CRD: 37306 | IL | 6 | 13 | C | Active |
| DWS International GMBH CRD: 105075 | - | 0 | 0 | - | Unknown |
| DWS Investment Management Americas, Inc. CRD: 104518 | - | 0 | 1 | - | Unknown |
| DWS Investment S.A. CRD: 300838 | - | 0 | 0 | - | Unknown |
| DWS Investments Australia Limited CRD: 109112 | - | 0 | 0 | - | Unknown |
| DWS Investments Hong Kong Limited CRD: 139666 | - | 0 | 0 | - | Unknown |
| DWS Investments Singapore Limited CRD: 162780 | - | 0 | 0 | - | Unknown |
| DWS Securities Corporation CRD: 19478 | - | 0 | 0 | A | INACTIVE |
| DWT Financial CRD: 328377 | - | 0 | 1 | - | Unknown |
| DWT Financial Services CRD: 139623 | - | 0 | 1 | - | Unknown |
| DWV Advisors, LLC CRD: 154148 | - | 0 | 1 | - | Unknown |
| Dwyer Financial, LLC CRD: 288470 | - | 0 | 1 | - | Unknown |
| Dwyer Jackson Hancock, LLC CRD: 155927 | - | 0 | 0 | - | Unknown |
| DX Advisors LLC CRD: 341725 | - | 0 | 1 | - | Unknown |
| DX Securities, Inc. CRD: 24178 | - | 0 | 0 | A | INACTIVE |
| DX2 Advisors, LLC CRD: 342949 | - | 0 | 1 | - | Unknown |
| DXA Investments (USA) LLC CRD: 301353 | - | 0 | 0 | - | Unknown |
| DXD Capital CRD: 329580 | - | 0 | 1 | - | Unknown |
| DXM Management Co, Inc. CRD: 298207 | - | 0 | 0 | - | Unknown |
| Dxmartin Capital LLC CRD: 315306 | - | 0 | 1 | - | Unknown |
| Dyad Capital LLC CRD: 325741 | - | 0 | 3 | - | Unknown |
| Dyad Financial Group CRD: 172428 | - | 0 | 1 | - | Unknown |
| Dyche, Riley, & Selman Wealth Management CRD: 159708 | - | 0 | 1 | - | Unknown |
| Dyco Programs Inc. CRD: 6160 | - | 0 | 0 | A | INACTIVE |
| DYDX Capital, LLC CRD: 286652 | - | 0 | 1 | - | Unknown |
| DYE Family Office CRD: 326761 | - | 0 | 1 | - | Unknown |
| Dyer & Company, L.L.C. CRD: 298855 | - | 0 | 1 | - | Unknown |
| Dyer Capital Management, Inc. CRD: 118645 | - | 0 | 0 | - | Unknown |
| Dyer Financial Advisory CRD: 123262 | - | 0 | 1 | - | Unknown |
| Dyer Financial Solutions LLC CRD: 168644 | - | 0 | 0 | - | Unknown |
| Dyer JR, John Antony CRD: 32705 | - | 0 | 0 | A | INACTIVE |
| Dyer Private Wealth Management CRD: 335655 | - | 0 | 1 | - | Unknown |
| Dyken Wealth Strategies, Inc. CRD: 293273 | - | 0 | 1 | - | Unknown |
| Dykes Securities, Inc. CRD: 7386 | - | 0 | 0 | A | INACTIVE |
| Dylan Lund Financial, LLC CRD: 338864 | - | 0 | 2 | - | Unknown |
| Dylan Street Partners, LLC CRD: 287870 | - | 0 | 0 | - | Unknown |
| Dymon Asia Capital (Difc) Limited CRD: 334222 | - | 0 | 0 | - | Unknown |
| Dymon Asia Capital (HK) Limited CRD: 164387 | - | 0 | 0 | - | Unknown |
| Dymon Asia Capital (Japan) Limited CRD: 321093 | - | 0 | 0 | - | Unknown |
| Dymon Asia Capital (Singapore) PTE. Ltd. CRD: 159386 | - | 0 | 0 | - | Unknown |
| Dymon Asia Capital (UK) LLP CRD: 173074 | - | 0 | 0 | - | Unknown |
| Dymon Asia Private Equity (Singapore) PTE. Ltd. CRD: 310014 | - | 0 | 0 | - | Unknown |
| Dynama Capital CRD: 162758 | - | 0 | 0 | - | Unknown |
| Dynamex Trading, LLC CRD: 127434 | NY | 1 | 2 | B | Active |
| Dynamic CRD: 151367 | - | 0 | 95 | - | Unknown |
| Dynamic Advisors, LLC CRD: 283285 | - | 0 | 0 | - | Unknown |
| Dynamic Asset Management Corporation CRD: 125552 | - | 0 | 0 | - | Unknown |
| Dynamic Asset Management Group LLC CRD: 159692 | - | 0 | 1 | - | Unknown |
| Dynamic Beta Investments LLC CRD: 164972 | - | 0 | 1 | - | Unknown |