Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| ATTIVO LEGACY ADVISORS, LLC CRD: 109195 | — | 0 | 0 | A | Unknown |
| ATV GP (VI) LLC CRD: 334497 | — | 0 | 0 | A | Unknown |
| ATW PARTNERS LLC CRD: 283146 | — | 0 | 0 | A | Unknown |
| ATWOB CRD: 172961 | — | 0 | 0 | A | Unknown |
| ATX OZ MANAGEMENT, LLC CRD: 327616 | — | 0 | 0 | A | Unknown |
| ATX SEED GP, LLC CRD: 190512 | — | 0 | 0 | A | Unknown |
| ATX VENTURE PARTNERS CRD: 289522 | — | 0 | 0 | A | Unknown |
| AU ADVISORS, INC. CRD: 144660 | — | 0 | 0 | A | Unknown |
| AU WEALTHPLAN CRD: 159438 | — | 0 | 0 | A | Unknown |
| AUA CAPITAL MANAGEMENT CRD: 164914 | — | 0 | 0 | A | Unknown |
| AUA PRIVATE EQUITY PARTNERS, LLC CRD: 170597 | — | 0 | 0 | A | Unknown |
| AUB INVESTMENTS, LLC CRD: 169220 | — | 0 | 0 | A | Unknown |
| AUBREY N. SEEMAN & CO., INC. CRD: 23191 | — | 0 | 0 | A | INACTIVE |
| AUCTUS ADVISORS LLC CRD: 289489 | — | 0 | 0 | A | Unknown |
| AUCTUS ASESORES S. L. CRD: 308383 | — | 0 | 0 | A | Unknown |
| AUDEO ADVISORS LLC CRD: 339549 | — | 0 | 0 | A | Unknown |
| AUFMAN ASSOCIATES INC CRD: 104622 | — | 0 | 0 | A | Unknown |
| AUGC PARTNERS LLC CRD: 289424 | — | 0 | 0 | A | Unknown |
| AUGEO ADVISORS, LLC CRD: 154881 | — | 0 | 0 | A | INACTIVE |
| AUGMENT ADVISORS, LLC CRD: 335130 | — | 0 | 0 | A | Unknown |
| AUGMENT VENTURES CRD: 329526 | — | 0 | 0 | A | Unknown |
| AUGULIS FINANCIAL FIRM, L.L.C. CRD: 173616 | — | 0 | 0 | A | Unknown |
| AUGUR CAPITAL ADVISORS S.A. CRD: 161633 | — | 0 | 0 | A | Unknown |
| AUGUR INVESTMENTS, LLC CRD: 104345 | — | 0 | 0 | A | INACTIVE |
| AUGUST EQUITY LLP CRD: 163018 | — | 0 | 0 | A | Unknown |
| AUGUST FINANCIAL ADVISORY CRD: 289414 | — | 0 | 0 | A | Unknown |
| AUGUST GROUP CRD: 311499 | — | 0 | 0 | A | Unknown |
| AUGUSTUS WEALTH, LLC CRD: 317189 | — | 0 | 0 | A | Unknown |
| AUK CAPITAL, LLC CRD: 167784 | — | 0 | 0 | A | Unknown |
| AULIS CAPITAL US ADVISOR, LLC CRD: 341217 | — | 0 | 0 | A | Unknown |
| AULON ADVISORS, LLC CRD: 170276 | — | 0 | 0 | A | Unknown |
| AUM CAPITAL INC CRD: 284913 | — | 0 | 0 | A | Unknown |
| AUM CAPITAL, LLC CRD: 150905 | — | 0 | 0 | A | INACTIVE |
| AUM FINANCIAL ADVISORS LLC CRD: 287653 | — | 0 | 0 | A | Unknown |
| AUM SHIV ADVISORS, LLC CRD: 283962 | — | 0 | 0 | A | Unknown |
| AUOUR INVESTMENTS LLC CRD: 173392 | — | 0 | 0 | A | Unknown |
| AURA WEALTH ADVISORS LLC CRD: 114501 | — | 0 | 0 | A | Unknown |
| AURE ADVISORS LLC CRD: 337951 | — | 0 | 0 | A | Unknown |
| AURE INVESTMENTS CRD: 330101 | — | 0 | 0 | A | Unknown |
| AUREA INVESTMENTS LLC CRD: 336580 | — | 0 | 0 | A | Unknown |
| AUREON MANAGEMENT LLC CRD: 338348 | — | 0 | 0 | A | Unknown |
| AUREUS ADVISORS INC. CRD: 339854 | — | 0 | 0 | A | Unknown |
| AUREUS CAPITAL CRD: 314387 | — | 0 | 0 | A | Unknown |
| AURI CRD: 336818 | — | 0 | 0 | A | Unknown |
| AURIA SERVICES CORP. CRD: 27851 | — | 8 | 0 | F | INACTIVE |
| AURIBEAU LLC CRD: 264794 | — | 0 | 0 | A | Unknown |
| AURIGA USA, LLC CRD: 121731 | — | 1 | 0 | F | INACTIVE |
| AURORA ARCHIPELAGO INC CRD: 340281 | — | 0 | 0 | A | Unknown |
| AURORA MANAGEMENT LLC CRD: 330901 | — | 0 | 0 | A | Unknown |
| AURORA SECURITIES CRD: 46147 | MI | 0 | 1 | A | Active |