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 |
|---|---|---|---|---|---|
| Empire State Financial, Inc. CRD: 5657 | NY | 0 | 2 | A | Active |
| Empire State Securities CRD: 17549 | - | 1 | 0 | B | INACTIVE |
| Empire State Wealth Advisors Inc CRD: 335240 | - | 0 | 1 | - | Unknown |
| Empire View Advisors CRD: 287775 | - | 0 | 1 | - | Unknown |
| Empire Wealth Management, LLC CRD: 155101 | - | 0 | 2 | - | Unknown |
| Empiric Advisors, Inc. CRD: 108425 | - | 0 | 2 | - | Unknown |
| Empiric Capital SA (PTY) Ltd CRD: 311855 | - | 0 | 0 | - | Unknown |
| Empiric Distributors, Inc. CRD: 119143 | TX | 0 | 2 | A | Active |
| Empiric Institutional CRD: 164683 | - | 0 | 2 | - | Unknown |
| Empirical Asset Management, LLC CRD: 155436 | - | 0 | 7 | - | Unknown |
| Empirical Capital Management, LLC CRD: 160509 | - | 0 | 1 | - | Unknown |
| Empirical Research Partners LLC CRD: 123520 | NY | 0 | 5 | A | Active |
| Empirical Wealth Management CRD: 152622 | - | 0 | 59 | - | Unknown |
| Empirikal Partners LLC CRD: 282691 | - | 0 | 10 | - | Unknown |
| Employee Benefits Investment Group, Inc. CRD: 104237 | - | 0 | 0 | A | INACTIVE |
| Employee Plan Services, Inc. CRD: 15276 | - | 0 | 0 | A | INACTIVE |
| Employer Retirement Investment Advisors, LLC CRD: 153254 | - | 0 | 0 | - | Unknown |
| Empower Advisory Group, LLC CRD: 112058 | - | 0 | 1,559 | - | Unknown |
| Empower Asset Management LLC CRD: 165551 | - | 0 | 0 | - | Unknown |
| Empower Capital Management, LLC CRD: 107272 | - | 0 | 6 | - | Unknown |
| Empower Financial CRD: 318472 | - | 0 | 1 | - | Unknown |
| Empower Financial Advisors, LLC CRD: 334722 | - | 0 | 1 | - | Unknown |
| Empower Financial Advisory, LLC CRD: 313968 | - | 0 | 1 | - | Unknown |
| Empower Financial LLC CRD: 126674 | - | 0 | 0 | - | Unknown |
| Empower Financial Services, Inc. CRD: 13109 | CO | 6 | 113 | B | Active |
| Empower Harvest Management Services, Inc. CRD: 284291 | - | 0 | 0 | - | Unknown |
| Empower Private Wealth CRD: 331529 | - | 0 | 2 | - | Unknown |
| Empower Wealth Management CRD: 305031 | - | 0 | 4 | - | Unknown |
| Empowered Financial Investments, LLC CRD: 298575 | - | 0 | 0 | - | Unknown |
| Empowered Portfolios, LLC CRD: 226701 | - | 0 | 0 | - | Unknown |
| Empowered Retirement, Inc. CRD: 169389 | - | 0 | 1 | - | Unknown |
| Empowerhaus LLC CRD: 305272 | - | 0 | 0 | - | Unknown |
| Empowering Finance, LLC CRD: 310901 | - | 0 | 1 | - | Unknown |
| Empowering Financial CRD: 289866 | - | 0 | 2 | - | Unknown |
| Empowering Financial Solutions, Inc. CRD: 144935 | - | 0 | 0 | - | Unknown |
| Empoweris Technology Solutions, LLC CRD: 281937 | - | 0 | 0 | - | Unknown |
| Empowerment Financial Advisors LLC CRD: 314497 | - | 0 | 1 | - | Unknown |
| Empowerment Financial Group CRD: 152203 | - | 0 | 0 | - | Unknown |
| Empowerment Financial Guidance, LLC CRD: 304421 | - | 0 | 0 | - | Unknown |
| Empros Capital LLC CRD: 293159 | - | 0 | 1 | - | Unknown |
| Empyre Capital Management CRD: 298546 | - | 0 | 0 | - | Unknown |
| Empyrean Capital Partners, LP CRD: 138978 | - | 0 | 1 | - | Unknown |
| Empyrion Wealth Management, Inc. CRD: 105888 | - | 0 | 0 | - | Unknown |
| EMR Capital Advisors PTY Ltd CRD: 169370 | - | 0 | 0 | - | Unknown |
| EMR Capital Management Limited CRD: 290297 | - | 0 | 0 | - | Unknown |
| EMR Securities, Inc. CRD: 13418 | - | 0 | 0 | A | INACTIVE |
| Emro Asset Management, LLC CRD: 157178 | - | 0 | 2 | - | Unknown |
| Emrose Capital, LLC CRD: 288873 | - | 0 | 0 | - | Unknown |
| EMS Capital LP CRD: 153756 | - | 0 | 0 | - | Unknown |
| EMS Capital Management Company, LLC CRD: 293214 | - | 0 | 0 | - | Unknown |