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 |
|---|---|---|---|---|---|
| EII Capital Management, Inc. CRD: 105680 | - | 0 | 0 | - | Unknown |
| EII Realty Securities Inc CRD: 106687 | - | 0 | 0 | - | Unknown |
| Eikoh Research Investment Management CRD: 160756 | - | 0 | 0 | - | Unknown |
| EIM Securities (USA) Inc. CRD: 40065 | - | 0 | 0 | A | INACTIVE |
| EIM, Inc. CRD: 13334 | - | 0 | 0 | A | INACTIVE |
| EIN SOF Advisors, LLC CRD: 314982 | - | 0 | 1 | - | Unknown |
| Einersen, Duffy & Comapny, LLC CRD: 101140 | - | 0 | 0 | A | INACTIVE |
| Einstok Wealth Management LLC CRD: 326527 | - | 0 | 1 | - | Unknown |
| EIR Partners Capital, LP CRD: 319010 | - | 0 | 1 | - | Unknown |
| Eischen Financial Group CRD: 159368 | - | 0 | 0 | - | Unknown |
| Eisen Financial Services, Inc. CRD: 125668 | - | 0 | 0 | - | Unknown |
| Eisenberg Capital Corporation CRD: 15259 | - | 0 | 0 | A | INACTIVE |
| Eisenberg, David Andrew CRD: 293385 | - | 0 | 0 | - | Unknown |
| Eisenhilfer Capital LLC CRD: 321763 | - | 0 | 1 | - | Unknown |
| Eisenhower Financial Services, LLC CRD: 129982 | - | 0 | 0 | A | INACTIVE |
| Eisenstat Capital Partners LP CRD: 157253 | - | 0 | 0 | - | Unknown |
| Eisler Capital (Difc) Ltd CRD: 333240 | - | 0 | 0 | - | Unknown |
| Eisler Capital (Jersey) Ltd CRD: 328685 | - | 0 | 0 | - | Unknown |
| Eisler Capital (MT) Ltd CRD: 327295 | - | 0 | 0 | - | Unknown |
| Eisler Capital (UK) Ltd. CRD: 282988 | - | 0 | 0 | - | Unknown |
| Eisler Capital (US) LLC CRD: 315314 | - | 0 | 0 | - | Unknown |
| Eisner Retirement Solutions LLC CRD: 126818 | - | 0 | 1 | A | INACTIVE |
| Eisner Securities, Inc. CRD: 40585 | - | 4 | 0 | C | INACTIVE |
| Eisneramper Wealth Management & Corporate Benefits… CRD: 121863 | - | 0 | 0 | - | Unknown |
| Eisrc CRD: 164031 | - | 0 | 1 | - | Unknown |
| EIV Capital Management Co., LLC CRD: 162556 | - | 0 | 0 | - | Unknown |
| EIV Capital, LLC CRD: 169111 | - | 0 | 2 | - | Unknown |
| Ejdeha, LLC CRD: 170991 | - | 0 | 0 | - | Unknown |
| EJF Capital LP CRD: 138854 | - | 0 | 1 | - | Unknown |
| EJL Asset Management, LLC CRD: 157504 | - | 0 | 1 | - | Unknown |
| EJM Advisors, LLC CRD: 290125 | - | 0 | 0 | - | Unknown |
| EJM Consulting CRD: 285021 | - | 0 | 0 | - | Unknown |
| EJM Wealth Management, LLC CRD: 149698 | - | 0 | 0 | - | Unknown |
| EJV Brokerage, Inc. CRD: 28085 | - | 0 | 0 | A | INACTIVE |
| EK Riley Investments, LLC CRD: 121003 | - | 3 | 0 | C | INACTIVE |
| EK&A CRD: 123817 | - | 0 | 0 | - | Unknown |
| EK&G Securities, Inc. CRD: 15639 | - | 0 | 0 | A | INACTIVE |
| Ekanta Wealth Advisors LLC CRD: 282031 | - | 0 | 1 | - | Unknown |
| EKB Financial CRD: 139174 | - | 0 | 0 | - | Unknown |
| EKN Financial Services Inc. CRD: 113525 | - | 28 | 0 | F | INACTIVE |
| EKO CRD: 313296 | - | 0 | 1 | - | Unknown |
| Ekon Advisors, LLC CRD: 281039 | - | 0 | 1 | - | Unknown |
| EKS Associates CRD: 169687 | - | 0 | 4 | - | Unknown |
| Eks&h Capital Advisors, LLC CRD: 286068 | - | 0 | 0 | A | INACTIVE |
| Ekstrand Financial LLC CRD: 281704 | - | 0 | 0 | - | Unknown |
| Ekundu Capital CRD: 311811 | - | 0 | 0 | - | Unknown |
| EL Adli Investment Advisors CRD: 144007 | - | 0 | 0 | - | Unknown |
| EL Camino Global Capital, LLC CRD: 306044 | - | 0 | 1 | - | Unknown |
| EL Camino Real Financial Advisors CRD: 155883 | - | 0 | 1 | - | Unknown |
| EL CAP Holdings Capital Partners, LLC CRD: 306894 | - | 0 | 1 | - | Unknown |