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 |
|---|---|---|---|---|---|
| Elmwood Asset Management LLC CRD: 297926 | - | 0 | 1 | - | Unknown |
| Elmwood Income Partners LLC CRD: 308049 | - | 0 | 0 | - | Unknown |
| Elmwood Wealth Management CRD: 165639 | - | 0 | 4 | - | Unknown |
| Elphina CRD: 334990 | - | 0 | 1 | - | Unknown |
| Elphinstone CRD: 311264 | - | 0 | 1 | - | Unknown |
| Elpis Capital Group, LLC CRD: 175494 | - | 0 | 3 | - | Unknown |
| Elps Capital, LLC CRD: 318400 | - | 0 | 1 | - | Unknown |
| ELR Capital Management, LLC CRD: 281239 | - | 0 | 1 | - | Unknown |
| Elrick & Company Incorporated CRD: 21586 | - | 0 | 0 | A | INACTIVE |
| Elsa Capital, LLC CRD: 334384 | - | 0 | 1 | - | Unknown |
| Elsbury, Michael William CRD: 37464 | - | 0 | 0 | A | INACTIVE |
| Elser Financial Planning, Inc. CRD: 143311 | - | 0 | 1 | - | Unknown |
| Elseware Financial Services LLC CRD: 327555 | NY | 0 | 3 | A | Active |
| Elsewhere Partners, LLC CRD: 293959 | - | 0 | 2 | - | Unknown |
| Elswick Investments LLC CRD: 337607 | - | 0 | 1 | - | Unknown |
| Elswick, Banks and Associates, Inc. CRD: 43252 | - | 0 | 0 | A | INACTIVE |
| Eltekon Advisors, LLC. CRD: 115371 | - | 0 | 1 | - | Unknown |
| Eltekon Securities, LLC CRD: 111645 | - | 1 | 0 | B | INACTIVE |
| Elton Sherwin & Co. CRD: 8008 | - | 0 | 0 | A | INACTIVE |
| Elton Stephens CRD: 122193 | - | 0 | 0 | - | Unknown |
| Eltura Capital Management, LLC CRD: 318320 | - | 0 | 1 | - | Unknown |
| Elvaston Capital Management LLC CRD: 238795 | - | 0 | 1 | - | Unknown |
| Elvin Capital Management LLC CRD: 290459 | - | 0 | 0 | - | Unknown |
| Elwood & Goetz CRD: 154839 | - | 0 | 5 | - | Unknown |
| Elwood Capital Partners LP CRD: 326288 | - | 0 | 1 | - | Unknown |
| Elwyn, Willbert & Haig Inc. CRD: 8500 | - | 0 | 0 | A | INACTIVE |
| ELY Prudent Portfolios, LLC CRD: 142681 | - | 0 | 0 | - | Unknown |
| Elypath Capital Management LLC CRD: 342148 | - | 0 | 1 | - | Unknown |
| Elyseum Family Office S.A. CRD: 291324 | - | 0 | 0 | - | Unknown |
| Elyseum Suisse S.A. CRD: 170077 | - | 0 | 0 | - | Unknown |
| Elysian Capital CRD: 173354 | - | 0 | 0 | - | Unknown |
| Elysian Capital LLP CRD: 226764 | - | 0 | 0 | - | Unknown |
| Elysien Private Wealth CRD: 151511 | - | 0 | 0 | - | Unknown |
| Elysium Venture Capital LLC CRD: 290945 | - | 0 | 0 | - | Unknown |
| Elysium Venture Capital LLC CRD: 328945 | - | 0 | 0 | - | Unknown |
| Elysium Wealth Management, LLC CRD: 312068 | - | 0 | 7 | - | Unknown |
| Elyxium Wealth LLC CRD: 328603 | - | 0 | 1 | - | Unknown |
| Elzoridy, Said CRD: 298813 | - | 0 | 0 | - | Unknown |
| EM Advisor CRD: 314402 | - | 0 | 1 | - | Unknown |
| EM Financial Services, LLC CRD: 337368 | - | 0 | 1 | - | Unknown |
| EM Leaders, LLC CRD: 166230 | - | 0 | 1 | - | Unknown |
| EM Securities LLC CRD: 148257 | NY | 0 | 3 | A | Active |
| EM-ES Fund Management LLP CRD: 287902 | - | 0 | 0 | - | Unknown |
| EM-ES Fund Management Ltd. CRD: 287923 | - | 0 | 0 | - | Unknown |
| EMA SMA LLC CRD: 311671 | - | 0 | 2 | - | Unknown |
| Emac Securities Corporation CRD: 103963 | - | 0 | 0 | A | INACTIVE |
| Emalternatives LLC CRD: 163574 | - | 0 | 0 | - | Unknown |
| Emancipare Investment Advisors CRD: 315473 | - | 0 | 2 | - | Unknown |
| Emancipation Capital LLC CRD: 127679 | - | 0 | 0 | - | Unknown |
| Emanuel and Company CRD: 7309 | - | 0 | 0 | A | INACTIVE |