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 |
|---|---|---|---|---|---|
| E. Howard Jones Investments, Inc. CRD: 19588 | - | 0 | 0 | A | INACTIVE |
| E. J. Degroat Securities CRD: 16040 | - | 0 | 0 | A | INACTIVE |
| E. J. Quinn & Co., Inc. CRD: 3114 | - | 0 | 0 | A | INACTIVE |
| E. Magnus Oppenheim & Co. Inc. CRD: 14268 | - | 3 | 2 | B | INACTIVE |
| E. Roger Financial Group CRD: 157793 | - | 0 | 1 | - | Unknown |
| E. S. Barr & Company CRD: 107447 | - | 0 | 3 | - | Unknown |
| E. S. Hope Financial CRD: 19885 | - | 3 | 0 | C | INACTIVE |
| E. S. Marks & Company, Inc. CRD: 41466 | - | 1 | 0 | B | INACTIVE |
| E. T. Andrews & Co., Inc. CRD: 1090 | - | 0 | 0 | A | INACTIVE |
| E. Wagner & Associates, Inc. CRD: 42668 | - | 0 | 0 | A | INACTIVE |
| E.A. Hendrich Financial Planning, LLC CRD: 162350 | - | 0 | 2 | - | Unknown |
| E.A. Moos & Co. L.P. CRD: 7606 | - | 6 | 0 | D | INACTIVE |
| E.A. Sheslow, Inc. CRD: 33844 | - | 0 | 0 | A | INACTIVE |
| E.A. Stewart & Co. CRD: 14751 | - | 0 | 0 | A | INACTIVE |
| E.C. Farnsworth & Company, Inc. CRD: 6772 | - | 0 | 0 | A | INACTIVE |
| E.C. Hayes & Associates LLC CRD: 47227 | - | 0 | 0 | A | INACTIVE |
| E.C. Krayton Associates, Inc. CRD: 128746 | - | 0 | 2 | - | Unknown |
| E.C.H.O. Financial CRD: 19833 | - | 0 | 0 | A | INACTIVE |
| E.D. & F. MAN International Inc. CRD: 36460 | - | 0 | 0 | A | INACTIVE |
| E.F. Daly Financial Group CRD: 20434 | - | 0 | 0 | A | INACTIVE |
| E.F. Hutton & Co. LLC CRD: 322687 | NY | 0 | 3 | A | Active |
| E.F. Kelly & Company CRD: 13283 | - | 0 | 0 | A | INACTIVE |
| E.F. Martin & Company, Inc. CRD: 23063 | - | 0 | 0 | A | INACTIVE |
| E.G. Jones & Co.,Inc. CRD: 16207 | - | 0 | 0 | A | INACTIVE |
| E.J. DE LA Rosa & Co., Inc. CRD: 25334 | - | 1 | 0 | B | INACTIVE |
| E.J. Nickerson Co. CRD: 282012 | - | 0 | 1 | - | Unknown |
| E.K. Wallace Securities LLC CRD: 148235 | - | 0 | 0 | A | INACTIVE |
| E.L. Price Bank Capital CRD: 10325 | - | 0 | 0 | A | INACTIVE |
| E.L.K. Capital Advisors, LLC CRD: 134999 | - | 0 | 0 | A | INACTIVE |
| E.M. Wasylik Associates LLP CRD: 118863 | - | 0 | 0 | - | Unknown |
| E.M.R. Enterprises CRD: 17986 | - | 0 | 0 | A | INACTIVE |
| E.R. Keller & Co., Inc. CRD: 10715 | - | 0 | 0 | A | INACTIVE |
| E.R.L Management Inc. CRD: 170440 | - | 0 | 0 | - | Unknown |
| E.S. Lanzaro CRD: 139214 | - | 0 | 0 | A | INACTIVE |
| E.S.M. Securities, Inc. CRD: 7105 | - | 0 | 0 | A | INACTIVE |
| E.V.I. Group Limited, Inc. CRD: 8301 | - | 0 | 0 | A | INACTIVE |
| E.VENTURES Management VI, LLC CRD: 309084 | - | 0 | 1 | - | Unknown |
| E.VENTURES Management, LLC CRD: 304362 | - | 0 | 1 | - | Unknown |
| E.VENTURES Managementgesellschaft MBH CRD: 319199 | - | 0 | 0 | - | Unknown |
| E1 Asset Management, Inc. CRD: 46872 | - | 9 | 0 | D | INACTIVE |
| E1 Ventures LLC CRD: 334661 | - | 0 | 1 | - | Unknown |
| E12 Venture Capital, LLC CRD: 325056 | - | 0 | 1 | - | Unknown |
| E14 Management, LLC CRD: 291870 | - | 0 | 1 | - | Unknown |
| E2 Advisory CRD: 312972 | - | 0 | 2 | - | Unknown |
| E2 Financial Services, LLC CRD: 301193 | - | 0 | 2 | - | Unknown |
| E2 Investment Advisors LLC CRD: 313201 | - | 0 | 1 | - | Unknown |
| E2E Financial CRD: 338290 | - | 0 | 1 | - | Unknown |
| E2I Advisors, LLC CRD: 285987 | - | 0 | 0 | - | Unknown |
| E2I Financial Group, LLC CRD: 167078 | - | 0 | 2 | - | Unknown |
| E2JDJ CRD: 334699 | - | 0 | 1 | - | Unknown |