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 |
|---|---|---|---|---|---|
| Emso Asset Management US LLC CRD: 167999 | - | 0 | 0 | - | Unknown |
| Emstone Advisers, LLC CRD: 139061 | - | 0 | 1 | - | Unknown |
| EMU Securities LLC CRD: 282630 | - | 0 | 0 | A | INACTIVE |
| Emvision Capital Advisors, LLC CRD: 337827 | - | 0 | 1 | - | Unknown |
| EMW Capital Advisors, LLC CRD: 134122 | - | 0 | 2 | - | Unknown |
| EMZ Partners CRD: 333324 | - | 0 | 0 | - | Unknown |
| EN SOF Securities Corporation CRD: 13049 | - | 0 | 0 | A | INACTIVE |
| EN+ Wealth CRD: 328854 | - | 0 | 1 | - | Unknown |
| ENA Investment Capital LLP CRD: 283023 | - | 0 | 0 | - | Unknown |
| Enable Ventures CRD: 329692 | - | 0 | 1 | - | Unknown |
| Enam Asset Management (Singapore) PTE Limited CRD: 327938 | - | 0 | 0 | - | Unknown |
| Encap Energy Advisors, LLC CRD: 104215 | - | 0 | 0 | A | INACTIVE |
| Encap ETF Management, LLC CRD: 325769 | - | 0 | 1 | - | Unknown |
| Encap Flatrock Midstream CRD: 161237 | - | 0 | 1 | - | Unknown |
| Encap Investments L.P. CRD: 160695 | - | 0 | 1 | - | Unknown |
| Enchanted Financial Planning CRD: 322372 | - | 0 | 0 | - | Unknown |
| Encircle Financial Strategies CRD: 327420 | - | 0 | 3 | - | Unknown |
| Enclave Advisors, LLC CRD: 165205 | - | 0 | 2 | - | Unknown |
| Enclave Capital LLC CRD: 22732 | FL | 3 | 3 | B | Active |
| Enclosure Energy Management CRD: 335570 | - | 0 | 1 | - | Unknown |
| Encoded Ventures CRD: 331657 | - | 0 | 1 | - | Unknown |
| Encompass Advisors, Ltd. CRD: 130857 | - | 0 | 2 | - | Unknown |
| Encompass Advisory Services, LLC CRD: 283574 | - | 0 | 2 | - | Unknown |
| Encompass Capital Advisors LLC CRD: 160113 | - | 0 | 1 | - | Unknown |
| Encompass Financial Advisors LLC CRD: 174531 | - | 0 | 0 | - | Unknown |
| Encompass Financial Advisors, Inc. CRD: 121403 | - | 0 | 0 | - | Unknown |
| Encompass Financial Advisors, LLC CRD: 164165 | - | 0 | 0 | - | Unknown |
| Encompass Financial Advisory Services, LLC CRD: 156388 | - | 0 | 0 | - | Unknown |
| Encompass Financial Planning CRD: 287472 | - | 0 | 1 | - | Unknown |
| Encompass Financial Services CRD: 331597 | - | 0 | 1 | - | Unknown |
| Encompass More Asset Management LLC CRD: 322382 | - | 0 | 80 | - | Unknown |
| Encompass More Investments, LLC CRD: 318438 | CA | 0 | 4 | A | Active |
| Encompass More LLC CRD: 288260 | - | 0 | 0 | - | Unknown |
| Encompass Wealth Advisors, LLC CRD: 170807 | - | 0 | 2 | - | Unknown |
| Encompass Wealth Management LLC CRD: 152987 | - | 0 | 2 | - | Unknown |
| Encompass Wealth Management, LLC CRD: 153268 | - | 0 | 0 | - | Unknown |
| Encore 401K, LLC CRD: 324414 | - | 0 | 2 | - | Unknown |
| Encore Asset Management CRD: 325605 | - | 0 | 0 | - | Unknown |
| Encore Better Than Home GP, LP CRD: 336011 | - | 0 | 1 | - | Unknown |
| Encore Consumer Capital, LP CRD: 157228 | - | 0 | 1 | - | Unknown |
| Encore Finance Group, L.L.C. CRD: 341465 | - | 0 | 1 | - | Unknown |
| Encore Financial Group, LLC CRD: 143995 | - | 0 | 0 | - | Unknown |
| Encore General Partner, LLC CRD: 327249 | - | 0 | 1 | - | Unknown |
| Encore Global Management LP CRD: 336829 | - | 0 | 1 | - | Unknown |
| Encore Housing Opportunity Fund Investment Manager… CRD: 159393 | - | 0 | 1 | - | Unknown |
| Encore Investment Advisors, LLC CRD: 315512 | - | 0 | 1 | - | Unknown |
| Encore Retirement Planning, LLC CRD: 329427 | - | 0 | 2 | - | Unknown |
| Encore Technologies Capital Management, LP CRD: 322187 | - | 0 | 0 | - | Unknown |
| Encore Wealth Advisors CRD: 336566 | - | 0 | 1 | - | Unknown |
| Encore Wealth Advisors, LLC CRD: 115336 | - | 0 | 1 | - | Unknown |