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 |
|---|---|---|---|---|---|
| Eastgate Capital Advisors LLC CRD: 220511 | - | 0 | 1 | - | Unknown |
| Eastgate Securities, LLC CRD: 146671 | NY | 2 | 1 | B | Active |
| Eastlake Capital, L.L.C. CRD: 45544 | - | 0 | 0 | A | INACTIVE |
| Eastlake Planning LLC CRD: 331427 | - | 0 | 1 | - | Unknown |
| Eastlake Securities, Inc. CRD: 15781 | - | 1 | 0 | B | INACTIVE |
| Eastlakes Capital Advisors LLC CRD: 168237 | - | 0 | 0 | - | Unknown |
| Eastlink Capital Management, LLC CRD: 171406 | - | 0 | 1 | - | Unknown |
| Eastman Banks & Dolan, Inc. CRD: 10828 | - | 0 | 0 | A | INACTIVE |
| Eastman Financial Advisors CRD: 172499 | - | 0 | 0 | - | Unknown |
| Eastmont LLC CRD: 300094 | - | 0 | 1 | - | Unknown |
| Easton & Co. CRD: 11290 | - | 2 | 0 | B | INACTIVE |
| Easton Investment Services, LLC CRD: 116028 | - | 0 | 0 | A | INACTIVE |
| Easton Trading Group LLC CRD: 114009 | - | 0 | 0 | A | INACTIVE |
| Easton Walker LLC CRD: 166591 | - | 0 | 0 | - | Unknown |
| Easton-Babcock Securities Limited, Inc. CRD: 16658 | - | 0 | 0 | A | INACTIVE |
| Eastover Capital Management CRD: 150821 | - | 0 | 1 | - | Unknown |
| Eastown Financial Advisors, LLC CRD: 305675 | - | 0 | 1 | - | Unknown |
| Eastport Advisors, LLC CRD: 168251 | - | 0 | 0 | - | Unknown |
| Eastrich Capital Advisors LLC CRD: 300099 | - | 0 | 0 | - | Unknown |
| Eastridge Capital, LP CRD: 165579 | - | 1 | 0 | B | INACTIVE |
| Eastside Management Company II LLC CRD: 162575 | - | 0 | 0 | - | Unknown |
| Eastside Management Company LLC CRD: 162574 | - | 0 | 0 | - | Unknown |
| Eastside Management Company, LLC CRD: 281746 | - | 0 | 1 | - | Unknown |
| Eastsound Capital Advisors, LLC CRD: 160180 | - | 0 | 8 | - | Unknown |
| Eastspring Investments (Singapore) Limited CRD: 144603 | - | 0 | 0 | - | Unknown |
| Eastspring US CRD: 169439 | - | 0 | 1 | - | Unknown |
| Eastward Capital Partners, LLC CRD: 161422 | - | 0 | 1 | - | Unknown |
| Eastwind Capital Wealth Management CRD: 146957 | - | 0 | 3 | - | Unknown |
| Eastwood Securities Inc. CRD: 13581 | - | 0 | 0 | A | INACTIVE |
| Easy Sunday Financial Planning CRD: 341242 | - | 0 | 1 | - | Unknown |
| Easytransfer Corporation CRD: 339384 | - | 0 | 1 | - | Unknown |
| Eaton Capital Corporation CRD: 15217 | - | 0 | 0 | A | INACTIVE |
| Eaton Financial Group CRD: 316323 | - | 0 | 1 | - | Unknown |
| Eaton Financial Group, Inc. CRD: 13387 | - | 0 | 0 | A | INACTIVE |
| Eaton Partners, LLC CRD: 31170 | - | 1 | 0 | B | INACTIVE |
| Eaton Placement Services (US), Inc. CRD: 32459 | - | 0 | 0 | A | INACTIVE |
| Eaton Vance Advisers International Ltd. CRD: 283733 | - | 0 | 0 | - | Unknown |
| Eaton Vance Distributors, Inc. CRD: 8039 | - | 0 | 0 | A | INACTIVE |
| Eaton Vance Distributors, Inc. CRD: 37731 | MA | 0 | 6 | A | Active |
| Eaton Vance Management CRD: 104859 | - | 0 | 8 | - | Unknown |
| Eaton Vance Management (International) Limited CRD: 281469 | - | 0 | 0 | - | Unknown |
| Eaton Vance Wateroak Advisors CRD: 132047 | - | 0 | 0 | - | Unknown |
| Eaton-Cambridge Inc. CRD: 116798 | - | 0 | 3 | - | Unknown |
| Eave Capital Management LLC CRD: 343020 | - | 0 | 1 | - | Unknown |
| EB Capital, LLC CRD: 321265 | - | 0 | 1 | - | Unknown |
| EB Financial Group, LLC CRD: 163932 | - | 0 | 1 | - | Unknown |
| Ebanks Financial Solutions, LLC CRD: 291298 | - | 0 | 1 | - | Unknown |
| Ebbert Asset Management, LP CRD: 124087 | - | 0 | 2 | - | Unknown |
| Ebbets Field Capital Management LP CRD: 174218 | - | 0 | 0 | - | Unknown |
| Ebco Resources, Inc. CRD: 27916 | - | 0 | 0 | A | INACTIVE |