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 |
|---|---|---|---|---|---|
| EE Fund Management, LLC CRD: 134401 | - | 0 | 2 | - | Unknown |
| EE&A Investment Management CRD: 113304 | - | 0 | 0 | - | Unknown |
| Eedara Financials CRD: 336656 | - | 0 | 1 | - | Unknown |
| EEE Financial LLC CRD: 282659 | - | 0 | 2 | - | Unknown |
| EEH Investments, LLC CRD: 310204 | - | 0 | 0 | - | Unknown |
| EEI Securities, Inc. CRD: 16640 | - | 0 | 0 | A | INACTIVE |
| EES Ventures Management, LLC CRD: 283048 | - | 0 | 1 | - | Unknown |
| EF Capital Management CRD: 269841 | - | 0 | 0 | - | Unknown |
| EF Capital Management Sezc Ltd. CRD: 284565 | - | 0 | 0 | - | Unknown |
| EF Hutton Fund Management LLC CRD: 327556 | - | 0 | 1 | - | Unknown |
| EF Hutton Investments LLC CRD: 285108 | - | 0 | 0 | - | Unknown |
| EF Hutton Merchant Partners LLC CRD: 324515 | - | 0 | 0 | - | Unknown |
| EF Manager LLC CRD: 325786 | - | 0 | 1 | - | Unknown |
| EF Portfolio CRD: 342386 | - | 0 | 1 | - | Unknown |
| EFC Sponsors Corporation CRD: 5210 | - | 0 | 0 | A | INACTIVE |
| EFC Wealth Management Firm LLC CRD: 312671 | - | 0 | 1 | - | Unknown |
| Efcg Transaction Services LLC CRD: 333770 | CO | 0 | 2 | A | Active |
| EFF Investment Management, LLC CRD: 320831 | - | 0 | 0 | - | Unknown |
| Effective Assets CRD: 285744 | - | 0 | 1 | - | Unknown |
| Effective Finance LLC CRD: 327998 | - | 0 | 1 | - | Unknown |
| Efficient Advisors CRD: 150144 | - | 0 | 0 | - | Unknown |
| Efficient Capital Management LLC CRD: 287958 | - | 0 | 1 | - | Unknown |
| Efficient Capital Strategies, LLC CRD: 283922 | - | 0 | 2 | - | Unknown |
| Efficient Frontier Advisors LLC CRD: 111895 | - | 0 | 0 | - | Unknown |
| Efficient Market Advisors, LLC CRD: 132188 | - | 0 | 0 | - | Unknown |
| Efficient Market Investments, LLC CRD: 156466 | - | 0 | 1 | - | Unknown |
| Efficient Markets LLC CRD: 102100 | TX | 0 | 2 | A | Active |
| Efficient Plan, LLC CRD: 169279 | - | 0 | 0 | - | Unknown |
| Efficient Planning Solutions LLC CRD: 311458 | - | 0 | 1 | - | Unknown |
| Effissimo Capital Management PTE Ltd CRD: 162975 | - | 0 | 0 | - | Unknown |
| Effissimo Partners CRD: 282954 | - | 0 | 0 | - | Unknown |
| EFG - Hermes UAE Limited CRD: 161727 | - | 0 | 0 | - | Unknown |
| EFG Advisors, LLC CRD: 165196 | - | 0 | 0 | - | Unknown |
| EFG Asset Management (North America) Corp CRD: 313103 | - | 0 | 1 | - | Unknown |
| EFG Capital Advisors Inc. CRD: 112224 | - | 0 | 0 | - | Unknown |
| EFG Capital International CRD: 40118 | FL | 6 | 2 | C | Active |
| EFG Capital International LLC CRD: 28349 | - | 0 | 0 | A | INACTIVE |
| EFG Financial, LLC CRD: 314998 | - | 0 | 1 | - | Unknown |
| EFG Private Wealth Management (Americas) Corp. CRD: 158905 | - | 0 | 1 | - | Unknown |
| EFG-Hermes USA, Inc. CRD: 284894 | - | 0 | 0 | A | INACTIVE |
| Efinancial Alliance, LLC CRD: 161352 | - | 0 | 1 | - | Unknown |
| Efinancialadvisor CRD: 167931 | - | 0 | 0 | - | Unknown |
| EFM Asset Management Limited CRD: 308291 | - | 0 | 0 | - | Unknown |
| EFM Investments & Advisory LLC CRD: 339744 | - | 0 | 1 | - | Unknown |
| Efounders Securities, LLC CRD: 104453 | - | 0 | 0 | A | INACTIVE |
| EFP Advisors CRD: 161249 | - | 0 | 0 | - | Unknown |
| EFP Advisors, LLC CRD: 288658 | - | 0 | 1 | - | Unknown |
| Efpr Wealth Advisors, LLC CRD: 316165 | - | 0 | 1 | - | Unknown |
| EFR Capital Corporation CRD: 25040 | - | 0 | 0 | A | INACTIVE |
| Efrontier Asset Management, LLC CRD: 282036 | - | 0 | 0 | - | Unknown |