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 |
|---|---|---|---|---|---|
| Epic Trading Inc. CRD: 150720 | - | 0 | 0 | A | INACTIVE |
| Epic Wealth Advisors, Inc. CRD: 118767 | - | 0 | 2 | - | Unknown |
| Epic Wealth Management LLC CRD: 305682 | - | 0 | 2 | - | Unknown |
| Epic Wealth Management, LLC CRD: 287964 | - | 0 | 0 | - | Unknown |
| Epic Wealth Management, LLC CRD: 297643 | - | 0 | 2 | - | Unknown |
| Epicenter Capital, L.P. CRD: 337448 | - | 0 | 1 | - | Unknown |
| Epicurus Fund Management CRD: 169639 | - | 0 | 0 | - | Unknown |
| Epicus Capital Management LLC CRD: 338572 | - | 0 | 1 | - | Unknown |
| Epidarex Capital Partners LLC CRD: 163916 | - | 0 | 0 | - | Unknown |
| Epigram Capital CRD: 332352 | - | 0 | 1 | - | Unknown |
| Epilog Partners, LP. CRD: 325368 | - | 0 | 1 | - | Unknown |
| Epiphanly Advisory, LLC CRD: 324466 | - | 0 | 1 | - | Unknown |
| Epiphany Capital CRD: 136557 | - | 0 | 2 | - | Unknown |
| Epiphany Financial Coaching CRD: 307859 | - | 0 | 1 | - | Unknown |
| Epiphany Health & Wealth CRD: 341524 | - | 0 | 1 | - | Unknown |
| Epiphany Wealth Management CRD: 171463 | - | 0 | 1 | - | Unknown |
| Epiq Capital Group, LLC CRD: 292526 | - | 0 | 0 | - | Unknown |
| Epiq Capital Investment Advisory LLP CRD: 324973 | - | 0 | 0 | - | Unknown |
| Epiq Capital Management LLC CRD: 304625 | - | 0 | 0 | - | Unknown |
| Epiq Partners, LLC CRD: 165139 | - | 0 | 1 | - | Unknown |
| Epiqwest Investment Corporation CRD: 145663 | - | 0 | 0 | - | Unknown |
| Epiris LLP CRD: 289031 | - | 0 | 0 | - | Unknown |
| Epiris Managers LLP CRD: 161218 | - | 0 | 0 | - | Unknown |
| Episteme Advisors CRD: 153919 | - | 0 | 1 | - | Unknown |
| Episteme Capital CRD: 167678 | - | 0 | 0 | - | Unknown |
| Epistemic Capital Management, LLC CRD: 317641 | - | 0 | 0 | - | Unknown |
| Epithauma LLC CRD: 284762 | - | 0 | 0 | - | Unknown |
| Epix Capital, LLC CRD: 171477 | - | 0 | 0 | - | Unknown |
| EPL Investment Advisory LLC CRD: 118168 | - | 0 | 1 | - | Unknown |
| EPL Spectrum Financial LLC CRD: 306737 | - | 0 | 0 | - | Unknown |
| Eplan Advisors, LLC CRD: 112504 | - | 0 | 0 | - | Unknown |
| Eplanet Capital CRD: 297681 | - | 0 | 0 | - | Unknown |
| Eplanet International Advisors II LLC CRD: 162727 | - | 0 | 0 | - | Unknown |
| Eplanning Securities, Inc. CRD: 46000 | - | 1 | 0 | B | INACTIVE |
| EPM Trading L.L.C. CRD: 133546 | - | 0 | 0 | A | INACTIVE |
| EPO Capital Corporation CRD: 44271 | - | 0 | 0 | A | INACTIVE |
| Epoch Capital, US CRD: 315254 | - | 0 | 1 | - | Unknown |
| Epoch Consulting Group CRD: 132757 | - | 0 | 0 | - | Unknown |
| Epoch Family Wealth CRD: 286107 | - | 0 | 1 | - | Unknown |
| Epoch Investment Partners, Inc. CRD: 131556 | - | 0 | 2 | - | Unknown |
| Epoch Securities, Inc. CRD: 103899 | - | 1 | 0 | B | INACTIVE |
| Epoch Wealth Management CRD: 283359 | - | 0 | 1 | - | Unknown |
| Epogee Capital Management, LLC CRD: 330816 | - | 0 | 1 | - | Unknown |
| Epona Financial Solutions CRD: 155591 | - | 0 | 1 | - | Unknown |
| EPP, Unipessoal LDA CRD: 333525 | - | 0 | 0 | - | Unknown |
| Eppes Wealth Management CRD: 332781 | - | 0 | 1 | - | Unknown |
| Eppler & Company, Inc. CRD: 18261 | - | 0 | 0 | A | INACTIVE |
| Eppley & Co. Capital Partners, Inc. CRD: 32610 | - | 0 | 0 | A | INACTIVE |
| EPS Management, LLC CRD: 324988 | - | 0 | 1 | - | Unknown |
| EPS Wealth Management CRD: 158468 | - | 0 | 2 | - | Unknown |