Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| AVV CRD: 335970 | — | 0 | 0 | A | Unknown |
| AVX MANAGEMENT, LLC CRD: 281115 | — | 0 | 0 | A | Unknown |
| AW SECURITIES CRD: 103747 | CA | 0 | 1 | A | Active |
| AWARD CAPITAL ADVISORS, LLC CRD: 324436 | — | 0 | 0 | A | Unknown |
| AWARE ASSET MANAGEMENT, INC. CRD: 286557 | — | 0 | 0 | A | Unknown |
| AWARE FINANCIAL CRD: 316610 | — | 0 | 0 | A | Unknown |
| AWARE INVESTING, INC CRD: 144809 | — | 0 | 0 | A | Unknown |
| AWARE PARTNERS LLC CRD: 327655 | — | 0 | 0 | A | Unknown |
| AWEN INVESTMENT ADVISORY LLC CRD: 137599 | — | 0 | 0 | A | Unknown |
| AWESOME ENABLERS, L.L.C. CRD: 298755 | — | 0 | 0 | A | Unknown |
| AWH CAPITAL, L.P. CRD: 146740 | — | 0 | 0 | A | Unknown |
| AWH FINANCIAL, LLC CRD: 285183 | — | 0 | 0 | A | Unknown |
| AWM CAPITAL, LLC CRD: 287980 | — | 0 | 0 | A | Unknown |
| AWM GLOBAL ADVISORS CRD: 159094 | — | 0 | 0 | A | Unknown |
| AX TRADING, LLC CRD: 154702 | — | 0 | 0 | A | INACTIVE |
| AXA INVESTMENT MANAGERS US INC CRD: 113608 | — | 0 | 0 | A | Unknown |
| AXA REIM SGP CRD: 282641 | — | 0 | 0 | A | Unknown |
| AXCEL MANAGEMENT A/S CRD: 308113 | — | 0 | 0 | A | Unknown |
| AXCS INVESTMENTS LLC CRD: 334940 | — | 0 | 0 | A | Unknown |
| AXELROD ADVISERS, LLC CRD: 287744 | — | 0 | 0 | A | Unknown |
| AXELROD ASSOCIATES, INC. CRD: 17559 | — | 0 | 0 | A | INACTIVE |
| AXES AMERICA LLC CRD: 42843 | — | 0 | 0 | A | INACTIVE |
| AXES, LLC CRD: 134036 | — | 0 | 0 | A | INACTIVE |
| AXIA ADVISORY CRD: 107571 | — | 0 | 0 | A | Unknown |
| AXIA ASSET MANAGEMENT, LLC CRD: 173148 | — | 0 | 0 | A | Unknown |
| AXIAL CAPITAL CRD: 161072 | — | 0 | 0 | A | Unknown |
| AXIAL PARTNERS CRD: 331811 | — | 0 | 0 | A | Unknown |
| AXICORP USA, LLC CRD: 167978 | — | 0 | 0 | A | INACTIVE |
| AXIO CONSULTING GROUP CRD: 306982 | — | 0 | 0 | A | Unknown |
| AXIOM ADVISORS, LLC CRD: 136305 | — | 0 | 0 | A | Unknown |
| AXIOM ADVISORY, LLC CRD: 131540 | — | 0 | 0 | A | Unknown |
| AXIOM ASSET ADVISORS, LLC CRD: 301307 | — | 0 | 0 | A | Unknown |
| AXIOM ASSET MANAGEMENT CRD: 145186 | — | 0 | 0 | A | Unknown |
| AXIOM ASSET MANAGEMENT, LLC CRD: 307538 | — | 0 | 0 | A | Unknown |
| AXIOM FOUNDERS FAMILY OFFICE, INC. CRD: 313318 | — | 0 | 0 | A | Unknown |
| AXIOM PARTNERS CRD: 334138 | — | 0 | 0 | A | Unknown |
| AXIOM QUANTITATIVE MANAGEMENT, LLC CRD: 339162 | — | 0 | 0 | A | Unknown |
| AXIOM VENTURE ADVISORS INC. CRD: 160353 | — | 0 | 0 | A | Unknown |
| AXIOM-ICF CAPITAL, INC. CRD: 23618 | — | 0 | 0 | A | INACTIVE |
| AXIOMQED LLC CRD: 337869 | — | 0 | 0 | A | Unknown |
| AXION WEALTH ADVISORS CRD: 325396 | — | 0 | 0 | A | Unknown |
| AXION WEALTH LLC CRD: 289021 | — | 0 | 0 | A | Unknown |
| AXIS CAPITAL USA, LLC CRD: 293368 | NY | 0 | 1 | A | Active |
| AXIS FINANCIAL, LLC CRD: 137720 | — | 0 | 0 | A | Unknown |
| AXIS TRADING CORPORATION CRD: 36311 | — | 0 | 0 | A | INACTIVE |
| AXIUM INFRASTRUCTURE INC. CRD: 286454 | — | 0 | 0 | A | Unknown |
| AXIUM INFRASTRUCTURE US INC. CRD: 168164 | — | 0 | 0 | A | Unknown |
| AXIUS ADVISORS LLC CRD: 330006 | — | 0 | 0 | A | Unknown |
| AXOM PARTNERS LLC CRD: 328894 | UT | 0 | 1 | A | Active |
| AXON CAPITAL LP CRD: 158281 | — | 0 | 0 | A | Unknown |