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 |
|---|---|---|---|---|---|
| Earthly CRD: 287731 | - | 0 | 0 | - | Unknown |
| Earthquake CRD: 324439 | - | 0 | 1 | - | Unknown |
| Earthshot Ventures CRD: 319474 | - | 0 | 1 | - | Unknown |
| Earthview Advisors LLC CRD: 326565 | - | 0 | 0 | - | Unknown |
| Earthview Advisors, LLC CRD: 292290 | - | 0 | 0 | - | Unknown |
| EAS Investors I, Limited Liability Company CRD: 317518 | - | 0 | 1 | - | Unknown |
| EAS Trading Group CRD: 109808 | - | 0 | 0 | A | INACTIVE |
| Easan Katir & Company CRD: 18513 | - | 0 | 0 | A | INACTIVE |
| Easan Katir Wealth Management CRD: 121845 | - | 0 | 1 | - | Unknown |
| Easlan Securities Corporation CRD: 13678 | - | 0 | 0 | A | INACTIVE |
| Easley Investment Consultants, Inc. CRD: 307258 | - | 0 | 1 | - | Unknown |
| East - West Capital Corporation CRD: 16348 | - | 0 | 0 | A | INACTIVE |
| East / West Securities Corp. CRD: 157346 | - | 0 | 0 | A | INACTIVE |
| East BAY Equities LLC CRD: 169822 | - | 0 | 2 | - | Unknown |
| East BAY Investment Solutions CRD: 166207 | - | 0 | 2 | - | Unknown |
| East Beach Asset Management, LLC CRD: 310563 | - | 0 | 1 | - | Unknown |
| East Blue Ventures PTE. Ltd. CRD: 342205 | - | 0 | 0 | - | Unknown |
| East Bridge Capital Management LP CRD: 167207 | - | 0 | 1 | - | Unknown |
| East Canyon Capital, LLC CRD: 155995 | - | 0 | 1 | - | Unknown |
| East Capital CRD: 161461 | - | 0 | 0 | - | Unknown |
| East Capital CRD: 335426 | - | 0 | 0 | - | Unknown |
| East Capital Asset Management CRD: 288757 | - | 0 | 0 | - | Unknown |
| East Coast Asset Management Sezc CRD: 334162 | - | 0 | 0 | - | Unknown |
| East Coast Asset Management, LLC CRD: 147910 | - | 0 | 5 | - | Unknown |
| East Coast Consultants, Inc. CRD: 38380 | - | 0 | 0 | A | INACTIVE |
| East Coast Securities Group, Inc. CRD: 16248 | - | 0 | 0 | A | INACTIVE |
| East Coast TAX and Financial Planning CRD: 281462 | - | 0 | 0 | - | Unknown |
| East Coast Wealth Management, Inc. CRD: 136155 | - | 0 | 1 | - | Unknown |
| East END Advisors, LLC CRD: 147144 | - | 0 | 1 | - | Unknown |
| East END Financial Group, Inc. CRD: 110584 | - | 0 | 1 | - | Unknown |
| East END Wealth Management CRD: 160261 | - | 0 | 1 | - | Unknown |
| East Face LLC CRD: 337305 | - | 0 | 1 | - | Unknown |
| East Franklin Capital, LLC CRD: 164921 | - | 0 | 0 | - | Unknown |
| East Grove Capital, LLC CRD: 289181 | - | 0 | 1 | - | Unknown |
| East Guilford Financial Services LLC CRD: 127481 | - | 0 | 2 | - | Unknown |
| East Hill Capital Corp. CRD: 25637 | - | 0 | 0 | A | INACTIVE |
| East Hill Capital L.L.C. CRD: 135075 | - | 0 | 0 | A | INACTIVE |
| East Hill Management Company, LLC CRD: 160663 | - | 0 | 0 | - | Unknown |
| East Hill Securities, Inc. CRD: 10829 | - | 0 | 0 | A | INACTIVE |
| East Horizon Investments CRD: 158364 | - | 0 | 1 | - | Unknown |
| East Lodge Capital Partners LLP CRD: 172215 | - | 0 | 0 | - | Unknown |
| East Pacific Investment Company Inc CRD: 109849 | - | 0 | 0 | - | Unknown |
| East Pacific Investment Company, Inc. CRD: 322196 | - | 0 | 2 | - | Unknown |
| East Peak Advisors, LLC CRD: 119977 | - | 0 | 0 | A | INACTIVE |
| East Point Asset Management Limited CRD: 315683 | - | 0 | 0 | - | Unknown |
| East Reisterstown Advisors LLC CRD: 327804 | - | 0 | 0 | - | Unknown |
| East River Capital Management LLC CRD: 329485 | - | 0 | 1 | - | Unknown |
| East Road Capital Management, LLC CRD: 336303 | - | 0 | 1 | - | Unknown |
| East Rock Capital, LLC CRD: 157433 | - | 0 | 1 | - | Unknown |
| East Rock Financial Services, LLC CRD: 147949 | - | 0 | 2 | - | Unknown |