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 |
|---|---|---|---|---|---|
| AI Global Investors (USA) LLC CRD: 304227 | - | 0 | 0 | - | Unknown |
| AI Investment Education Foundation Ltd CRD: 332307 | - | 0 | 0 | - | Unknown |
| AI Investor 360 CRD: 334235 | - | 0 | 1 | - | Unknown |
| AI List Management LLC CRD: 292538 | - | 0 | 0 | - | Unknown |
| AI Operators Management, LLC CRD: 323757 | - | 0 | 0 | - | Unknown |
| AI Saivers LLC CRD: 309901 | - | 0 | 0 | - | Unknown |
| AI Securities,Inc. CRD: 23108 | - | 0 | 0 | A | INACTIVE |
| AI Stock Prophet, LLC CRD: 340421 | - | 0 | 1 | - | Unknown |
| AI Ventures CRD: 335674 | - | 0 | 1 | - | Unknown |
| AI Ventures Management, LLC CRD: 290536 | - | 0 | 1 | - | Unknown |
| AI Yosemite, LLC CRD: 324235 | - | 0 | 1 | - | Unknown |
| AI2 Incubator CRD: 324195 | - | 0 | 1 | - | Unknown |
| AIA Capital Markets LLC CRD: 44156 | - | 0 | 0 | A | INACTIVE |
| AIA Securities LLC CRD: 323693 | - | 0 | 0 | A | INACTIVE |
| AIA Stock Advice CRD: 146487 | - | 0 | 0 | - | Unknown |
| AIC Capital LLC CRD: 162926 | - | 0 | 0 | - | Unknown |
| AIC Investment Advisors, Inc. CRD: 131740 | - | 0 | 0 | - | Unknown |
| Aidenlair Capital, LLC CRD: 314874 | - | 0 | 1 | - | Unknown |
| Aidex Securities, Inc. CRD: 12964 | - | 0 | 0 | A | INACTIVE |
| Aids Prevention Fund, Inc. CRD: 129842 | - | 0 | 0 | A | INACTIVE |
| AIF Capital Asia Management IV, Ltd. CRD: 294572 | - | 0 | 0 | - | Unknown |
| AIF Capital Asia Management Ltd. CRD: 294573 | - | 0 | 0 | - | Unknown |
| AIF Capital Limited CRD: 162020 | - | 0 | 0 | - | Unknown |
| AIF Management LLC CRD: 326000 | - | 0 | 1 | - | Unknown |
| Aifam Group LLC CRD: 158290 | - | 0 | 1 | - | Unknown |
| AIG International Securities Inc. CRD: 30647 | - | 0 | 0 | A | INACTIVE |
| AIG Securities Corp. CRD: 14321 | - | 0 | 0 | A | INACTIVE |
| AIG, Inc. CRD: 17001 | - | 0 | 0 | A | INACTIVE |
| Aiga Capital Partners LLC CRD: 311692 | - | 0 | 1 | - | Unknown |
| AIH CRD: 332722 | - | 0 | 1 | - | Unknown |
| Aihara Wealth Management LLC CRD: 332749 | - | 0 | 1 | - | Unknown |
| Aiim Partners CRD: 298224 | - | 0 | 1 | - | Unknown |
| Aiim PTY Ltd CRD: 317208 | - | 0 | 0 | - | Unknown |
| Aikapa CRD: 144517 | - | 0 | 2 | - | Unknown |
| Ailares, Inc. CRD: 309235 | - | 0 | 0 | - | Unknown |
| Aileron Ltd CRD: 109174 | - | 0 | 0 | - | Unknown |
| Ailsa Capital LLC CRD: 321147 | - | 0 | 1 | - | Unknown |
| Ailsa Capital, Inc. CRD: 136463 | - | 0 | 0 | - | Unknown |
| AIM Advisors CRD: 154373 | - | 0 | 1 | - | Unknown |
| AIM Advisors CRD: 317933 | - | 0 | 1 | - | Unknown |
| AIM Advisors, LLC CRD: 325125 | - | 0 | 1 | - | Unknown |
| AIM Advisory Group, LLC CRD: 169281 | - | 0 | 1 | - | Unknown |
| AIM Capital CRD: 165183 | - | 0 | 1 | - | Unknown |
| AIM Group Limited CRD: 169714 | - | 0 | 0 | - | Unknown |
| AIM Management Company, LP CRD: 335675 | - | 0 | 1 | - | Unknown |
| AIM Master I (BVI) Ltd. CRD: 320798 | - | 0 | 0 | - | Unknown |
| AIM Network Inc. CRD: 10107 | - | 0 | 0 | A | INACTIVE |
| AIM Securities Co. CRD: 33801 | - | 4 | 0 | C | INACTIVE |
| AIM Securities, Inc CRD: 10106 | - | 0 | 0 | A | INACTIVE |
| AIM Wealth, LLC CRD: 317241 | - | 0 | 0 | - | Unknown |