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 |
|---|---|---|---|---|---|
| Emko Industrial GP I LLC CRD: 334508 | - | 0 | 1 | - | Unknown |
| Emles Advisors LLC CRD: 299296 | - | 0 | 0 | - | Unknown |
| EMM Wealth CRD: 148963 | - | 0 | 0 | - | Unknown |
| Emma 100, LLC CRD: 315604 | - | 0 | 1 | - | Unknown |
| Emma Josie Ferguson CRD: 106934 | - | 0 | 0 | - | Unknown |
| Emma Research LLC CRD: 334501 | - | 0 | 1 | - | Unknown |
| Emmanuel Capital Management, LLC CRD: 139985 | - | 0 | 1 | - | Unknown |
| Emmaus Investor Services Corp. CRD: 139376 | - | 0 | 3 | - | Unknown |
| Emmes Realty Advisors LLC CRD: 175482 | - | 0 | 0 | - | Unknown |
| Emmes Wealth Management CRD: 171893 | - | 0 | 0 | - | Unknown |
| Emmet & Co, Inc. CRD: 15993 | - | 4 | 0 | C | INACTIVE |
| Emmett a Larkin Company, Inc. CRD: 6625 | - | 36 | 0 | F | INACTIVE |
| Emmett Charles, LLC CRD: 169985 | - | 0 | 0 | - | Unknown |
| Emmett Investment Management, LP CRD: 299543 | - | 0 | 1 | - | Unknown |
| Emoney Planning Services LLC CRD: 312206 | - | 0 | 0 | - | Unknown |
| Emoney Securities LLC CRD: 106026 | - | 0 | 0 | A | INACTIVE |
| Emory Wealth LLC CRD: 333375 | - | 0 | 1 | - | Unknown |
| Emotionally Invested CRD: 332807 | - | 0 | 2 | - | Unknown |
| EMP Wealth Management LLC CRD: 327869 | - | 0 | 2 | - | Unknown |
| Empactful CRD: 298742 | - | 0 | 0 | - | Unknown |
| Empactful Capital LLC CRD: 325002 | - | 0 | 1 | - | Unknown |
| Empath Ventures, LLC CRD: 316419 | - | 0 | 1 | - | Unknown |
| Empath Wealth CRD: 334259 | - | 0 | 1 | - | Unknown |
| Empeiria Capital Management, LLC CRD: 285463 | - | 0 | 1 | - | Unknown |
| Empennage Wealth Partners, LLC CRD: 292814 | - | 0 | 0 | - | Unknown |
| Emperian Global Markets, L.L.C. CRD: 112784 | - | 0 | 0 | A | INACTIVE |
| Emperor Investments, Inc. CRD: 285445 | - | 0 | 0 | - | Unknown |
| Emperor Tree Capital Limited CRD: 283844 | - | 0 | 0 | - | Unknown |
| Empery Asset Management, LP CRD: 148180 | - | 0 | 1 | - | Unknown |
| Emphatic Partner Capital LLC CRD: 339101 | - | 0 | 1 | - | Unknown |
| Empire Advisors CRD: 311749 | - | 0 | 0 | - | Unknown |
| Empire Advisors Group LLC CRD: 133853 | - | 0 | 0 | - | Unknown |
| Empire Advisors Wealth Management LLC CRD: 324031 | - | 0 | 1 | - | Unknown |
| Empire Asset Management Company CRD: 143007 | NJ | 1 | 2 | B | Active |
| Empire Brokerage Services, Inc. CRD: 16230 | - | 0 | 0 | A | INACTIVE |
| Empire Capital Corporation CRD: 13331 | - | 0 | 0 | A | INACTIVE |
| Empire Capital GP, L.L.C. CRD: 286276 | - | 0 | 1 | - | Unknown |
| Empire Capital Group, LLC CRD: 47179 | - | 1 | 0 | B | INACTIVE |
| Empire Capital Management LLC CRD: 161285 | - | 0 | 0 | - | Unknown |
| Empire Capital Ventures CRD: 299014 | - | 0 | 0 | - | Unknown |
| Empire Executions, Inc. CRD: 44957 | - | 2 | 0 | B | INACTIVE |
| Empire Financial Group, Inc. CRD: 28759 | - | 17 | 0 | D | INACTIVE |
| Empire Financial Group, LLC CRD: 139382 | - | 0 | 1 | - | Unknown |
| Empire Financial Management Company, LLC CRD: 146097 | - | 0 | 2 | - | Unknown |
| Empire Investment Inc. CRD: 16763 | NY | 4 | 2 | B | Active |
| Empire National Securities, Incorporated CRD: 7361 | - | 0 | 0 | A | INACTIVE |
| Empire ONE Securities, Inc. CRD: 100640 | - | 0 | 0 | A | INACTIVE |
| Empire Options Corporation CRD: 42571 | - | 0 | 0 | A | INACTIVE |
| Empire Retirement Plans, LLC CRD: 334783 | - | 0 | 5 | - | Unknown |
| Empire Securities Corporation CRD: 2826 | - | 5 | 0 | C | INACTIVE |