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 |
|---|---|---|---|---|---|
| EFS Advisors CRD: 115211 | - | 0 | 58 | - | Unknown |
| EFS Asset Management LLC CRD: 106184 | - | 0 | 1 | - | Unknown |
| EFS Associates CRD: 127643 | - | 0 | 0 | - | Unknown |
| EFS Wealth Management LLC CRD: 314709 | - | 0 | 1 | - | Unknown |
| Efsane Wealth Management Consulting Co., Ltd CRD: 334573 | - | 0 | 1 | - | Unknown |
| EFW Partners SPV Management, LLC CRD: 297365 | - | 0 | 0 | - | Unknown |
| EG Capital CRD: 162850 | - | 0 | 0 | - | Unknown |
| EG Capital Management LLC CRD: 334921 | - | 0 | 1 | - | Unknown |
| EG Market Technologies LLC CRD: 174487 | - | 0 | 0 | A | INACTIVE |
| Egan Securities, Inc. CRD: 14147 | - | 0 | 0 | A | INACTIVE |
| Egarden II Capital Limited CRD: 310600 | - | 0 | 0 | - | Unknown |
| Egarden III Capital Limited CRD: 310601 | - | 0 | 0 | - | Unknown |
| Egarden IV Capital Ltd CRD: 310599 | - | 0 | 0 | - | Unknown |
| Egate, LLC CRD: 143317 | - | 0 | 0 | - | Unknown |
| Egateway Capital, LLC CRD: 322765 | - | 0 | 1 | - | Unknown |
| EGB Capital Ventures, LLC CRD: 330665 | - | 0 | 1 | - | Unknown |
| Egeria CRD: 163351 | - | 0 | 0 | - | Unknown |
| Egeria CRD: 336714 | - | 0 | 0 | - | Unknown |
| Egerton Capital (UK) LLP CRD: 156384 | - | 0 | 0 | - | Unknown |
| Egerton Capital (US), LP CRD: 297738 | - | 0 | 1 | - | Unknown |
| Egerton Capital International Limited CRD: 289360 | - | 0 | 0 | - | Unknown |
| EGF Equities CRD: 14017 | - | 0 | 0 | A | INACTIVE |
| Eggerss Capital Management CRD: 152890 | - | 0 | 0 | - | Unknown |
| Eggert Financial Management, Inc. CRD: 112025 | - | 0 | 0 | - | Unknown |
| Eggz CRD: 339061 | - | 0 | 1 | - | Unknown |
| Eghrari Wealth Training LLC CRD: 167896 | - | 0 | 0 | - | Unknown |
| EGI Financial, Inc. CRD: 120607 | - | 0 | 5 | - | Unknown |
| Egis Capital Partners LP CRD: 306123 | - | 0 | 0 | - | Unknown |
| Egis Securities Corp. CRD: 21975 | - | 0 | 0 | A | INACTIVE |
| Eglinton Capital Partners Inc. CRD: 323418 | - | 0 | 0 | - | Unknown |
| Eglw Global, LLC CRD: 297474 | - | 0 | 0 | - | Unknown |
| EGO Death Capital Management LLC CRD: 323367 | - | 0 | 1 | - | Unknown |
| EGO Death Financial LLC CRD: 335569 | - | 0 | 1 | - | Unknown |
| EGP Management Limited CRD: 298842 | - | 0 | 0 | - | Unknown |
| EGP Wealth Management, LLC CRD: 298338 | - | 0 | 4 | - | Unknown |
| Egret Securities LLC CRD: 337349 | FL | 0 | 4 | A | Active |
| EGS Securities Corp. CRD: 28347 | - | 3 | 0 | C | INACTIVE |
| Egsi Investment Management CRD: 171488 | - | 0 | 1 | - | Unknown |
| Egwele Securities LLC CRD: 309093 | IL | 0 | 3 | A | Active |
| EHB Financial Resources Managemnt, Inc. CRD: 116186 | - | 0 | 2 | - | Unknown |
| Ehcp Corporate Finance, LLC CRD: 144134 | - | 0 | 0 | A | INACTIVE |
| EHD Advisory Services, Inc. CRD: 127155 | - | 0 | 0 | - | Unknown |
| EHG Wealth Management CRD: 342819 | - | 0 | 1 | - | Unknown |
| EHI Cleantech Ventures, LLC CRD: 323542 | - | 0 | 0 | - | Unknown |
| Ehlers CRD: 146385 | - | 0 | 3 | - | Unknown |
| Ehlert Financial Group, Inc. CRD: 112150 | - | 0 | 0 | - | Unknown |
| Ehmli Investment Advisors LLC CRD: 137273 | - | 0 | 1 | - | Unknown |
| Ehrenberg Chesler Investment Advisors LLC CRD: 168591 | - | 0 | 0 | - | Unknown |
| Ehrenkrantz King Nussbaum CRD: 31140 | - | 4 | 0 | C | INACTIVE |
| Ehrenkranz Partners L.P. CRD: 131728 | - | 0 | 1 | - | Unknown |