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 |
|---|---|---|---|---|---|
| Elliott Scherlis Associates CRD: 171132 | - | 0 | 0 | - | Unknown |
| Elliott Securities, Inc. CRD: 6876 | - | 0 | 0 | A | INACTIVE |
| Ellis Brady Management (Hong Kong) Limited CRD: 160130 | - | 0 | 0 | - | Unknown |
| Ellis Capital Management CRD: 150988 | - | 0 | 0 | - | Unknown |
| Ellis Financial Planning CRD: 333092 | - | 0 | 1 | - | Unknown |
| Ellis Financial Solutions LLC CRD: 337847 | - | 0 | 1 | - | Unknown |
| Ellis Investment Partners, LLC CRD: 157669 | - | 0 | 4 | - | Unknown |
| Ellis Lake Capital, LLC CRD: 156401 | - | 0 | 0 | - | Unknown |
| Ellis Lewis Capital LLC CRD: 306962 | - | 0 | 0 | - | Unknown |
| Ellis Lewis Capital LLC CRD: 330613 | - | 0 | 0 | - | Unknown |
| Ellis Munro Asset Management PTE. Ltd. CRD: 168621 | - | 0 | 0 | - | Unknown |
| Ellis Securities, Inc. CRD: 17680 | - | 0 | 0 | A | INACTIVE |
| Ellis Wealth Advisors, LLC CRD: 153024 | - | 0 | 0 | - | Unknown |
| Ellis Wealth Advisors, LLC CRD: 342527 | - | 0 | 1 | - | Unknown |
| Ellison Capital Management CRD: 112675 | - | 0 | 0 | - | Unknown |
| Ellison Investment Advisors CRD: 116393 | - | 0 | 2 | - | Unknown |
| Ellison, Pearson & Garrett Securities, Inc. CRD: 20977 | - | 0 | 0 | A | INACTIVE |
| Ellisville Harbour Partners CRD: 312311 | - | 0 | 1 | - | Unknown |
| Ellman & Howe Securities CRD: 16402 | - | 0 | 0 | A | INACTIVE |
| Ellman, David LEE CRD: 34056 | - | 1 | 0 | B | INACTIVE |
| Ells Financial Services LLC CRD: 175408 | - | 0 | 3 | - | Unknown |
| Ellsworth Advisors, LLC CRD: 297464 | - | 0 | 2 | - | Unknown |
| Ellwood CRD: 110781 | - | 0 | 0 | - | Unknown |
| ELM Advisors Inc. CRD: 17773 | - | 0 | 0 | A | INACTIVE |
| ELM Advisors, LLC CRD: 135682 | - | 0 | 0 | - | Unknown |
| ELM Asset Management Inc. CRD: 114199 | - | 0 | 2 | - | Unknown |
| ELM Capital Management LLC CRD: 294012 | - | 0 | 3 | - | Unknown |
| ELM Capital Securities, LLC CRD: 128519 | - | 0 | 0 | A | INACTIVE |
| ELM Capital USA Limited CRD: 154372 | - | 0 | 0 | A | Active |
| ELM Haven Capital Management, LLC CRD: 341502 | - | 0 | 1 | - | Unknown |
| ELM Leaf Consulting CRD: 311050 | - | 0 | 0 | - | Unknown |
| ELM Park Capital Management, LLC CRD: 156367 | - | 0 | 0 | - | Unknown |
| ELM Park Management, LLC CRD: 289364 | - | 0 | 0 | - | Unknown |
| ELM Ridge Capital Management, LLC CRD: 138549 | - | 0 | 0 | - | Unknown |
| ELM Ridge Management, LLC CRD: 154508 | - | 0 | 1 | - | Unknown |
| ELM Street Advisors, LLC CRD: 301641 | - | 0 | 1 | - | Unknown |
| ELM Street Venture Advisors, Inc. CRD: 162498 | - | 0 | 0 | - | Unknown |
| ELM Trading, L.P. CRD: 125637 | - | 0 | 0 | A | INACTIVE |
| ELM Tree Capital Management LLC CRD: 158018 | - | 0 | 1 | - | Unknown |
| ELM Wealth CRD: 167225 | - | 0 | 2 | - | Unknown |
| ELM Wealth Advisory CRD: 339476 | - | 0 | 1 | - | Unknown |
| ELM3 Financial Group, LLC CRD: 140594 | - | 0 | 3 | - | Unknown |
| Elmcore Investment Advisors LLC CRD: 157877 | - | 0 | 0 | - | Unknown |
| Elmcore Securities LLC CRD: 158922 | IL | 0 | 2 | A | Active |
| Elmind Capital LP CRD: 333910 | - | 0 | 1 | - | Unknown |
| Elmrock Management, LLC CRD: 162604 | - | 0 | 0 | - | Unknown |
| Elmrox Investment Group IM L.P. CRD: 173302 | - | 0 | 0 | - | Unknown |
| Elms Securities Corp. CRD: 8312 | - | 0 | 0 | A | INACTIVE |
| Elmtree Funds, LLC CRD: 286094 | - | 0 | 0 | - | Unknown |
| Elmtree Funds, LLC CRD: 338940 | - | 0 | 1 | - | Unknown |