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 |
|---|---|---|---|---|---|
| Emerging Growth Equities, Ltd. CRD: 47040 | - | 1 | 0 | B | INACTIVE |
| Emerging Growth Securities, Inc. CRD: 19495 | - | 0 | 0 | A | INACTIVE |
| Emerging Manager Advisors LLC CRD: 151079 | - | 1 | 0 | B | INACTIVE |
| Emerging Managers Group, L.P. CRD: 153442 | - | 0 | 0 | - | Unknown |
| Emerging Markets Alternatives, LLC CRD: 289832 | - | 0 | 0 | - | Unknown |
| Emerging Markets Cancer Ignition Fund Management C… CRD: 324299 | - | 0 | 1 | - | Unknown |
| Emerging Oaks Capital LLC CRD: 306759 | - | 0 | 1 | - | Unknown |
| Emerging Sovereign Group, LLC CRD: 138920 | - | 0 | 0 | - | Unknown |
| Emerging United Asset Management Ltd CRD: 338715 | - | 0 | 1 | - | Unknown |
| Emerging Variant Capital Management, LP CRD: 291512 | - | 0 | 0 | - | Unknown |
| Emergingwealth Investment Management, Inc. CRD: 151471 | - | 0 | 0 | - | Unknown |
| Emerick Financial Planning, LLC CRD: 281576 | - | 0 | 1 | - | Unknown |
| Emeritus Investment Management, Inc. CRD: 108328 | - | 0 | 0 | - | Unknown |
| Emerson & Co., Inc. CRD: 7516 | - | 0 | 0 | A | INACTIVE |
| Emerson and Associates, Inc. CRD: 40010 | - | 0 | 0 | A | INACTIVE |
| Emerson Bennett & Associates CRD: 36171 | - | 5 | 0 | C | INACTIVE |
| Emerson Capital Management CRD: 142991 | - | 0 | 0 | - | Unknown |
| Emerson Capital Management, LLC CRD: 155748 | - | 0 | 0 | - | Unknown |
| Emerson Capital, LP CRD: 171047 | - | 0 | 0 | - | Unknown |
| Emerson Equity LLC CRD: 130032 | CA | 2 | 110 | B | Active |
| Emerson James Advisors LLC CRD: 307226 | - | 0 | 1 | - | Unknown |
| Emerson Partners CRD: 334672 | - | 0 | 2 | - | Unknown |
| Emerson Point Capital LP CRD: 290463 | - | 0 | 0 | - | Unknown |
| Emerson Securities Corp. CRD: 16514 | - | 0 | 0 | A | INACTIVE |
| Emerson Wealth, LLC CRD: 144901 | - | 0 | 0 | - | Unknown |
| Emery Howard CRD: 113079 | - | 0 | 0 | - | Unknown |
| Emery Partners LLC CRD: 336787 | - | 0 | 1 | - | Unknown |
| Emet Capital Management CRD: 167047 | - | 0 | 1 | - | Unknown |
| Emet Capital Management I, LLC CRD: 226672 | - | 0 | 0 | - | Unknown |
| Emet Fund Global Advisors LLC CRD: 315189 | - | 0 | 0 | - | Unknown |
| Emeth Value Capital, LLC CRD: 310696 | - | 0 | 1 | - | Unknown |
| Emfo, LLC CRD: 289997 | - | 0 | 0 | - | Unknown |
| EMG CRD: 116184 | - | 0 | 1 | - | Unknown |
| EMG Capital LLC CRD: 159054 | - | 0 | 0 | A | INACTIVE |
| Emgo Capital, LLC CRD: 331252 | - | 0 | 1 | - | Unknown |
| EMH Partners GMBH CRD: 307458 | - | 0 | 0 | - | Unknown |
| Emil VAN Essen LLC CRD: 292623 | - | 0 | 0 | - | Unknown |
| Emine Capital Management CRD: 307436 | - | 0 | 1 | - | Unknown |
| Eminence Capital, LP CRD: 160611 | - | 0 | 1 | - | Unknown |
| Eminence Marvelous GP II Limited CRD: 313468 | - | 0 | 0 | - | Unknown |
| Eminence Volatility Advisors, LLC CRD: 314122 | - | 0 | 0 | - | Unknown |
| Eminence Wealth Management Inc. CRD: 319111 | - | 0 | 1 | - | Unknown |
| Eminent Strategic Partners, LLC CRD: 326640 | - | 0 | 1 | - | Unknown |
| Emissary Financial Group, Inc. CRD: 44568 | - | 0 | 0 | A | INACTIVE |
| Emissary Wealth CRD: 308002 | - | 0 | 3 | - | Unknown |
| EMJ Capital Ltd. CRD: 311754 | - | 0 | 0 | - | Unknown |
| EMK Capital LLP CRD: 289108 | - | 0 | 0 | - | Unknown |
| EMK Investment Advisors, LLC CRD: 167474 | - | 0 | 1 | - | Unknown |
| Emkan Management, Inc. CRD: 322742 | - | 0 | 0 | - | Unknown |
| Emkay Financial Services, Inc. CRD: 18631 | - | 0 | 0 | A | INACTIVE |