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 |
|---|---|---|---|---|---|
| ELK Capital Management, LLC CRD: 327823 | - | 0 | 1 | - | Unknown |
| ELK Creek Partners, LLC CRD: 157499 | - | 0 | 0 | - | Unknown |
| ELK Hill Advisors, Inc. CRD: 117275 | - | 0 | 2 | - | Unknown |
| ELK Ridge Capital Management LLC CRD: 283191 | - | 0 | 0 | - | Unknown |
| ELK Ridge Financial Services CRD: 309131 | - | 0 | 1 | - | Unknown |
| ELK River Capital Management, LLC CRD: 269887 | - | 0 | 0 | - | Unknown |
| ELK River Wealth Management LLC CRD: 307263 | - | 0 | 3 | - | Unknown |
| Elkhorn Investments CRD: 168198 | - | 0 | 0 | - | Unknown |
| Elkhorn Securities, LLC CRD: 168905 | - | 2 | 0 | B | INACTIVE |
| Elkhorn Value Capital CRD: 287570 | - | 0 | 0 | - | Unknown |
| Elkins, Greene Associates, Inc. CRD: 5655 | - | 0 | 0 | A | INACTIVE |
| Elkins/Mcsherry Co., Inc. CRD: 37546 | - | 0 | 0 | A | INACTIVE |
| Elko Creek Capital, LLC CRD: 300017 | - | 0 | 0 | - | Unknown |
| Elkwater Capital CRD: 333963 | - | 0 | 1 | - | Unknown |
| ELL Wess Advisors CRD: 330466 | - | 0 | 1 | - | Unknown |
| Ella Financial Advising CRD: 307357 | - | 0 | 1 | - | Unknown |
| Ella Joseph Investments CRD: 316772 | - | 0 | 0 | - | Unknown |
| Ellasinvest Asset Management CRD: 341457 | - | 0 | 1 | - | Unknown |
| Elle Capital Fund Investment Manager LP CRD: 312327 | - | 0 | 1 | - | Unknown |
| Elle Investment Group LLC CRD: 310082 | - | 0 | 1 | - | Unknown |
| Ellen B. Holden Personal Financial Planning & TAX … CRD: 139089 | - | 0 | 0 | - | Unknown |
| Ellen Binen-Milbrod Financial Services L.L.C. CRD: 129294 | - | 0 | 2 | - | Unknown |
| Ellen J Webber, CFP CRD: 148382 | - | 0 | 1 | - | Unknown |
| Ellen Powers Consulting Inc. CRD: 141130 | - | 0 | 1 | - | Unknown |
| Ellenbecker Investment Group CRD: 173851 | - | 0 | 1 | - | Unknown |
| Ellerbrock-Norris Wealth Strategies LLC CRD: 295099 | - | 0 | 1 | - | Unknown |
| Ellerra Ventures LLC CRD: 332789 | - | 0 | 1 | - | Unknown |
| Ellerston Capital Limited CRD: 297256 | - | 0 | 0 | - | Unknown |
| Ellevate Advisors CRD: 307301 | - | 0 | 1 | - | Unknown |
| Elleverage Inc CRD: 289295 | - | 0 | 0 | - | Unknown |
| Ellevest CRD: 175476 | - | 0 | 15 | - | Unknown |
| Ellevity Capital, LLC CRD: 282390 | - | 0 | 2 | - | Unknown |
| Ellija Capital Management, LLC CRD: 137151 | - | 0 | 1 | - | Unknown |
| Elliker Financial CRD: 335437 | - | 0 | 2 | - | Unknown |
| Ellington Credit Company Management LLC CRD: 168311 | - | 0 | 1 | - | Unknown |
| Ellington Financial Management LLC CRD: 150510 | - | 0 | 1 | - | Unknown |
| Ellington Global Asset Management, LLC CRD: 141772 | - | 0 | 1 | - | Unknown |
| Ellington Management Group, L.L.C. CRD: 112493 | - | 0 | 1 | - | Unknown |
| Ellington Reit Management LLC CRD: 168310 | - | 0 | 0 | - | Unknown |
| Elliot Investment Management, LLC CRD: 128261 | - | 0 | 2 | - | Unknown |
| Elliott Asset Management CRD: 283356 | - | 0 | 0 | - | Unknown |
| Elliott Capital Management LLC CRD: 173282 | - | 0 | 0 | - | Unknown |
| Elliott Capital Management, Inc. CRD: 123852 | - | 0 | 1 | - | Unknown |
| Elliott Cove Capital Management CRD: 123636 | - | 0 | 10 | - | Unknown |
| Elliott Davis Brokerage Services, LLC CRD: 121844 | - | 0 | 0 | A | INACTIVE |
| Elliott Financial Management, Inc. CRD: 116489 | - | 0 | 0 | - | Unknown |
| Elliott Financial, LLC CRD: 122072 | - | 0 | 2 | - | Unknown |
| Elliott Investment Management L.P. CRD: 307151 | - | 0 | 1 | - | Unknown |
| Elliott Investments, Inc. CRD: 35616 | - | 0 | 0 | A | INACTIVE |
| Elliott Management Corporation CRD: 156601 | - | 0 | 0 | - | Unknown |