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 |
|---|---|---|---|---|---|
| AURORA TECH LLC CRD: 338357 | — | 0 | 0 | A | Unknown |
| AURORA WEALTH ADVISORS CRD: 322947 | — | 0 | 0 | A | Unknown |
| AURORA WEALTH ADVISORS LLC CRD: 309280 | — | 0 | 0 | A | Unknown |
| AURUM EP GP LLC CRD: 337707 | — | 0 | 0 | A | Unknown |
| AURUM PARTNERS LLC CRD: 328902 | — | 0 | 0 | A | Unknown |
| AURUM SECURITIES CORP. CRD: 38598 | — | 0 | 0 | A | INACTIVE |
| AURUS ADVISORS, INC. CRD: 128096 | FL | 0 | 1 | A | Active |
| AUSDAL FINANCIAL PARTNERS, INC. CRD: 7995 | IA | 2 | 1 | F | Active |
| AUST FINANCIAL ADVISORY, LLC CRD: 153724 | — | 0 | 0 | A | Unknown |
| AUSTEN INVESTMENTS, LLC CRD: 313643 | — | 0 | 0 | A | Unknown |
| AUSTEN MORRIS ASSOCIATES NORTH AMERICA CRD: 322965 | — | 0 | 0 | A | Unknown |
| AUSTIN ASSET CRD: 105441 | — | 0 | 0 | A | Unknown |
| AUSTIN ATLANTIC ASSET MANAGEMENT CO. CRD: 110035 | — | 0 | 0 | A | Unknown |
| AUSTIN VENTURES CRD: 160118 | — | 0 | 0 | A | Unknown |
| AUSTIN, JAMES CRD: 290354 | — | 0 | 0 | A | Unknown |
| AUTHENT ADVISORS, INC. CRD: 148520 | — | 0 | 0 | A | Unknown |
| AUTILUS PARTNERS LLC CRD: 322882 | — | 0 | 0 | A | Unknown |
| AUTOMATED TRADING DESK SPECIALISTS, LLC CRD: 114026 | — | 2 | 0 | F | INACTIVE |
| AUTONOMOUS RESEARCH US LP CRD: 165290 | — | 0 | 0 | A | INACTIVE |
| AUTRANET, LLC CRD: 8192 | — | 0 | 0 | A | INACTIVE |
| AUTUMN LANE ADVISORS, LLC CRD: 173624 | — | 0 | 0 | A | Unknown |
| AUTUS ASSET MANAGEMENT, LLC CRD: 118439 | — | 0 | 0 | A | Unknown |
| AUXANO ADVISORS CRD: 145179 | — | 0 | 0 | A | Unknown |
| AUXI ASSET MANAGEMENT, LLC CRD: 135421 | — | 0 | 0 | A | Unknown |
| AUXIER ASSET MANAGEMENT CRD: 107980 | — | 0 | 0 | A | Unknown |
| AV FUND MANAGEMENT, LLC CRD: 328286 | — | 0 | 0 | A | Unknown |
| AV VENTURES LLC CRD: 309052 | — | 0 | 0 | A | Unknown |
| AV WEALTH ADVISORS LLC CRD: 328600 | — | 0 | 0 | A | Unknown |
| AV7 LLC CRD: 337467 | — | 0 | 0 | A | Unknown |
| AVAARI FINANCIAL CRD: 153855 | — | 0 | 0 | A | Unknown |
| AVALA GLOBAL LP CRD: 323053 | — | 0 | 0 | A | Unknown |
| AVALAN, LLC CRD: 156109 | — | 0 | 0 | A | Unknown |
| AVALANCHE VC, LLC CRD: 315458 | — | 0 | 0 | A | Unknown |
| AVALON CRD: 168033 | — | 0 | 0 | A | Unknown |
| AVALON INVESTMENT & ADVISORY CRD: 112556 | — | 0 | 0 | A | Unknown |
| AVALON PARTNERS, INC. CRD: 41357 | — | 5 | 0 | F | INACTIVE |
| AVALON VENTURES MANAGEMENT, LLC CRD: 161930 | — | 0 | 0 | A | Unknown |
| AVALON WEALTH ADVISORY, INC. CRD: 114311 | — | 0 | 0 | A | Unknown |
| AVALOR INVESTMENT AG CRD: 283227 | — | 0 | 0 | A | Unknown |
| AVANT BIO LLC CRD: 327673 | — | 0 | 0 | A | Unknown |
| AVANT FINANCIAL ADVISORS CRD: 297894 | — | 0 | 0 | A | Unknown |
| AVANT MANAGEMENT LLC CRD: 330991 | — | 0 | 0 | A | Unknown |
| AVANT, LLC CRD: 283808 | — | 0 | 0 | A | Unknown |
| AVANT-GARDE ADVISORS LLC CRD: 151527 | — | 0 | 0 | A | Unknown |
| AVANT-GARDE WEALTH CRD: 308170 | — | 0 | 0 | A | Unknown |
| AVANTAX ADVISORY SERVICES CRD: 104556 | — | 0 | 0 | A | Unknown |
| AVANTAX PLANNING PARTNERS, INC. CRD: 106237 | — | 0 | 0 | A | Unknown |
| AVANTE GLOBAL CRD: 340973 | — | 0 | 0 | A | Unknown |
| AVANTO PARTNERS LP CRD: 332965 | — | 0 | 0 | A | Unknown |
| AVASAR ASSET MANAGEMENT CRD: 163353 | — | 0 | 0 | A | Unknown |