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 |
|---|---|---|---|---|---|
| East Rocky Asset Management LLC CRD: 322508 | - | 0 | 1 | - | Unknown |
| East Seattle Partners, LLC CRD: 328964 | - | 0 | 1 | - | Unknown |
| East Shore Advisors, LLC CRD: 306788 | - | 0 | 1 | - | Unknown |
| East Shore Investment Management LLC CRD: 328008 | - | 0 | 1 | - | Unknown |
| East Shore Partners, Inc. CRD: 28999 | - | 4 | 0 | C | INACTIVE |
| East Side Capital Corp CRD: 161375 | - | 0 | 0 | - | Unknown |
| East Texas Financial CRD: 114660 | - | 0 | 0 | - | Unknown |
| East Valley Wealth LLC CRD: 314715 | - | 0 | 3 | - | Unknown |
| East Ventures Advisory PTE. Ltd. CRD: 336231 | - | 0 | 0 | - | Unknown |
| East Wave Partners, LLC CRD: 335732 | - | 0 | 0 | - | Unknown |
| East West Advisers CRD: 285447 | - | 0 | 1 | - | Unknown |
| East West Global, LLC CRD: 170879 | - | 0 | 0 | - | Unknown |
| East West Institutional Services, Inc. CRD: 10870 | - | 0 | 0 | A | INACTIVE |
| East West Investment Advisors, LLC CRD: 159038 | - | 0 | 2 | - | Unknown |
| East West Investment Management LLC CRD: 305688 | - | 0 | 0 | - | Unknown |
| East West Markets, LLC CRD: 146871 | TX | 0 | 6 | A | Active |
| East Wind Securities, LLC CRD: 148032 | NY | 0 | 2 | A | Active |
| East/West Securities Co. CRD: 10038 | - | 1 | 0 | B | INACTIVE |
| East29TH Capital CRD: 329699 | - | 0 | 0 | - | Unknown |
| Eastbay Capital CRD: 166947 | - | 0 | 1 | - | Unknown |
| Eastbeck Wealth Management, LLC CRD: 175001 | - | 0 | 0 | - | Unknown |
| Eastbridge Capital Inc. CRD: 23858 | - | 0 | 0 | A | INACTIVE |
| Eastbrokers North America, Inc. CRD: 10673 | - | 0 | 0 | A | INACTIVE |
| Eastbrook Capital Group LLC CRD: 39781 | - | 12 | 0 | D | INACTIVE |
| Eastco Capital Management, Inc. CRD: 13367 | - | 0 | 0 | A | INACTIVE |
| Eastdil Secured Advisors LLC CRD: 304434 | CA | 0 | 4 | A | Active |
| Easter Kramer Group Securities, Inc. CRD: 15318 | - | 0 | 0 | A | INACTIVE |
| Easterly Alternatives LLC CRD: 309166 | - | 0 | 0 | - | Unknown |
| Easterly EAB Risk Solutions LLC CRD: 312382 | - | 0 | 0 | - | Unknown |
| Easterly Funds LLC CRD: 281785 | - | 0 | 0 | - | Unknown |
| Easterly Investment Partners LLC CRD: 299607 | - | 0 | 9 | - | Unknown |
| Easterly Securities LLC CRD: 281103 | MA | 0 | 3 | A | Active |
| Eastern Asset Management LLC CRD: 339499 | - | 0 | 1 | - | Unknown |
| Eastern Bell Capital II Limited CRD: 313363 | - | 0 | 0 | - | Unknown |
| Eastern Bell Capital II Management Limited CRD: 313407 | - | 0 | 0 | - | Unknown |
| Eastern Bell Capital Limited CRD: 308070 | - | 0 | 0 | - | Unknown |
| Eastern Bell Capital Management Limited CRD: 300995 | - | 0 | 0 | - | Unknown |
| Eastern Capital Corporation CRD: 7910 | - | 0 | 0 | A | INACTIVE |
| Eastern Capital Resources Inc. CRD: 14884 | - | 0 | 0 | A | INACTIVE |
| Eastern Capital Securities, Inc. CRD: 14743 | - | 0 | 0 | A | INACTIVE |
| Eastern Dental Brokerage Services, LLC CRD: 139535 | - | 0 | 0 | A | INACTIVE |
| Eastern Equities, Inc. CRD: 15694 | - | 0 | 0 | A | INACTIVE |
| Eastern Equity Investments, Inc. CRD: 10425 | - | 0 | 0 | A | INACTIVE |
| Eastern Financial Corporation CRD: 18256 | - | 0 | 0 | A | INACTIVE |
| Eastern Investment Securities Corp. CRD: 5504 | - | 0 | 0 | A | INACTIVE |
| Eastern Point Capital Management CRD: 168855 | - | 0 | 0 | - | Unknown |
| Eastern Point Securities, Inc. CRD: 21921 | - | 0 | 0 | A | INACTIVE |
| Eastern Securities Corporation CRD: 29579 | - | 0 | 0 | A | INACTIVE |
| Eastern Securities, Inc. CRD: 16170 | - | 0 | 0 | A | INACTIVE |
| Eastern States Securities, Inc. CRD: 6786 | - | 0 | 0 | A | INACTIVE |