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 |
|---|---|---|---|---|---|
| Emerald Haven Investments Corp CRD: 156522 | - | 0 | 1 | - | Unknown |
| Emerald Hill Capital Partners Holdings LLC CRD: 298843 | - | 0 | 1 | - | Unknown |
| Emerald Hill Capital Partners Limited CRD: 162565 | - | 0 | 0 | - | Unknown |
| Emerald Hills Capital, LLC CRD: 159670 | - | 0 | 1 | - | Unknown |
| Emerald Investment Advisers, LLC CRD: 338769 | - | 0 | 1 | - | Unknown |
| Emerald Investment Advisors Inc. CRD: 161393 | - | 0 | 0 | - | Unknown |
| Emerald Investments, Inc. CRD: 139511 | - | 6 | 0 | D | INACTIVE |
| Emerald Investments, Inc. CRD: 120750 | - | 0 | 3 | - | Unknown |
| Emerald Isle Trading Inc. CRD: 33790 | - | 0 | 0 | A | INACTIVE |
| Emerald Lake Capital Management, L.P. CRD: 300395 | - | 0 | 1 | - | Unknown |
| Emerald Mutual Fund Advisers Trust CRD: 135130 | - | 0 | 1 | - | Unknown |
| Emerald Necklace Investments, LLC CRD: 311720 | - | 0 | 0 | - | Unknown |
| Emerald Pacific Investment Advisors LLC CRD: 313155 | - | 0 | 1 | - | Unknown |
| Emerald Planning Services, Inc. CRD: 128228 | - | 0 | 0 | - | Unknown |
| Emerald Point Capital, LLC CRD: 132014 | - | 1 | 0 | B | INACTIVE |
| Emerald Research Corp. CRD: 113918 | - | 0 | 2 | - | Unknown |
| Emerald Securities, L.L.C. CRD: 39206 | - | 0 | 0 | A | INACTIVE |
| Emerald Separate Account Management LLC CRD: 150202 | - | 0 | 1 | - | Unknown |
| Emerald Technology Ventures AG CRD: 284858 | - | 0 | 0 | - | Unknown |
| Emerald Ventures, LLC CRD: 141966 | - | 0 | 0 | A | INACTIVE |
| Emerald Waves Investments, LLC CRD: 154095 | - | 0 | 2 | - | Unknown |
| Emerald Wealth Advisors CRD: 146836 | - | 0 | 0 | - | Unknown |
| Emerald Wealth Management, Inc. CRD: 171913 | - | 0 | 1 | - | Unknown |
| Emeraldspark Investments CRD: 282015 | - | 0 | 1 | - | Unknown |
| Emerant Wealth, LLC CRD: 282538 | - | 0 | 0 | - | Unknown |
| Emerge Capital Management CRD: 284581 | - | 0 | 1 | - | Unknown |
| Emerge Corporation CRD: 103975 | - | 0 | 0 | A | INACTIVE |
| Emergence Equity Management, Inc CRD: 161547 | - | 0 | 1 | - | Unknown |
| Emergent Capital Advisors, LLC CRD: 156112 | - | 0 | 1 | - | Unknown |
| Emergent Financial Group, Inc. CRD: 37891 | - | 3 | 0 | C | INACTIVE |
| Emergent Financial Group, LLC CRD: 318413 | - | 0 | 1 | - | Unknown |
| Emergent Financial Services, LLC. CRD: 288434 | - | 0 | 1 | - | Unknown |
| Emergent Fortuity Financial, LLC CRD: 299328 | - | 0 | 1 | - | Unknown |
| Emergent Global Investments CRD: 290875 | - | 0 | 1 | - | Unknown |
| Emergent Investor Services, LLC CRD: 156320 | - | 0 | 0 | - | Unknown |
| Emergent LLC CRD: 282413 | - | 0 | 0 | - | Unknown |
| Emergent Medical Partners CRD: 160434 | - | 0 | 1 | - | Unknown |
| Emergent Strategic Partners, LLC CRD: 333406 | - | 0 | 0 | - | Unknown |
| Emergent Ventures, LLC CRD: 305182 | - | 0 | 1 | - | Unknown |
| Emergent Wealth Advisors, LLC CRD: 174845 | - | 0 | 1 | - | Unknown |
| Emergent Wealth Management, LLC CRD: 164254 | - | 0 | 0 | - | Unknown |
| Emergevest CRD: 170704 | - | 0 | 0 | - | Unknown |
| Emerging CRD: 337313 | - | 0 | 1 | - | Unknown |
| Emerging Capital Partners CRD: 337282 | - | 0 | 1 | - | Unknown |
| Emerging Capital Partners CRD: 151377 | - | 0 | 0 | - | Unknown |
| Emerging Capital Partners CRD: 151376 | - | 0 | 0 | - | Unknown |
| Emerging Capital Partners CRD: 151378 | - | 0 | 0 | - | Unknown |
| Emerging Energy and Environment LLC CRD: 163778 | - | 0 | 0 | - | Unknown |
| Emerging Global Advisors, LLC CRD: 148751 | - | 0 | 0 | - | Unknown |
| Emerging Growth Advisors Inc CRD: 106510 | - | 0 | 0 | - | Unknown |