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 |
|---|---|---|---|---|---|
| Epsil0N Capital Management, LLC CRD: 312117 | - | 0 | 0 | - | Unknown |
| Epsilon Advisors ERA Series, a Series of Epsilon A… CRD: 284084 | - | 0 | 0 | - | Unknown |
| Epsilon Asset Management, LLC CRD: 288806 | - | 0 | 0 | - | Unknown |
| Epsilon Financial Group, Inc. CRD: 111990 | - | 0 | 3 | - | Unknown |
| Epsilon Health Investors, LLC CRD: 298267 | - | 0 | 1 | - | Unknown |
| Epsilon Management Services, Inc. CRD: 30416 | - | 2 | 0 | B | INACTIVE |
| Epsilon Trading, L.L.C. CRD: 118791 | - | 0 | 0 | A | INACTIVE |
| Epsilon Venture Partners Management, L.P. CRD: 284029 | - | 0 | 0 | - | Unknown |
| Epstein and White Financial LLC CRD: 281230 | - | 0 | 0 | - | Unknown |
| Epstein Financial Services CRD: 118141 | - | 0 | 0 | - | Unknown |
| Epstein, IRA Howard CRD: 128266 | - | 0 | 0 | A | INACTIVE |
| Epta Capital Management CRD: 338727 | - | 0 | 1 | - | Unknown |
| Epus Global Energy, LLC CRD: 298819 | - | 0 | 1 | - | Unknown |
| EQ Asset Management Ltd CRD: 306683 | - | 0 | 0 | - | Unknown |
| EQ Wealth Advisors CRD: 322294 | - | 0 | 2 | - | Unknown |
| EQ Wealth Management CRD: 291033 | - | 0 | 9 | - | Unknown |
| Eqis Securities, LLC CRD: 20633 | - | 1 | 0 | B | INACTIVE |
| Eqonex SA CRD: 316279 | - | 0 | 0 | - | Unknown |
| EQR RWA Information Ltd CRD: 339817 | - | 0 | 1 | - | Unknown |
| EQT AB CRD: 161818 | - | 0 | 0 | - | Unknown |
| EQT Credit II GP LP CRD: 165476 | - | 0 | 0 | - | Unknown |
| EQT Exeter Advisors Asia Pacific PTE. Ltd. CRD: 330253 | - | 0 | 0 | - | Unknown |
| EQT Expansion Capital I (General Partner) LP CRD: 160889 | - | 0 | 0 | - | Unknown |
| EQT Expansion Capital II (General Partner) LP CRD: 160891 | - | 0 | 0 | - | Unknown |
| EQT Fund Management S.A.R.L CRD: 288390 | - | 0 | 0 | - | Unknown |
| EQT GC II GP LP CRD: 160880 | - | 0 | 0 | - | Unknown |
| EQT III (General Partner) LP CRD: 160883 | - | 0 | 0 | - | Unknown |
| EQT Infrastructure (General Partner) LP CRD: 160877 | - | 0 | 0 | - | Unknown |
| EQT IV (General Partner) LP CRD: 160884 | - | 0 | 0 | - | Unknown |
| EQT Netherlands Management B.V. CRD: 282097 | - | 0 | 0 | - | Unknown |
| EQT Opportunity (General Partner) LP CRD: 160875 | - | 0 | 0 | - | Unknown |
| EQT Partners a/S CRD: 160719 | - | 0 | 0 | - | Unknown |
| EQT Partners AB CRD: 160716 | - | 0 | 0 | - | Unknown |
| EQT Partners AG CRD: 160717 | - | 0 | 0 | - | Unknown |
| EQT Partners as CRD: 160718 | - | 0 | 0 | - | Unknown |
| EQT Partners Asia Limited CRD: 160721 | - | 0 | 0 | - | Unknown |
| EQT Partners Asia PTE. Ltd. CRD: 326818 | - | 0 | 0 | - | Unknown |
| EQT Partners Australia PTY Ltd. CRD: 310189 | - | 0 | 0 | - | Unknown |
| EQT Partners BD LLC CRD: 281727 | - | 0 | 0 | A | INACTIVE |
| EQT Partners BD, LLC CRD: 322826 | PA | 0 | 5 | A | Active |
| EQT Partners Denmark APS CRD: 310182 | - | 0 | 0 | - | Unknown |
| EQT Partners GMBH CRD: 160722 | - | 0 | 0 | - | Unknown |
| EQT Partners Inc. CRD: 160179 | - | 0 | 1 | - | Unknown |
| EQT Partners Japan K.K. CRD: 321264 | - | 0 | 0 | - | Unknown |
| EQT Partners Korea Co., Ltd. CRD: 319766 | - | 0 | 0 | - | Unknown |
| EQT Partners Limited CRD: 309520 | - | 0 | 0 | - | Unknown |
| EQT Partners Netherlands B.V. CRD: 310186 | - | 0 | 0 | - | Unknown |
| EQT Partners OY CRD: 160720 | - | 0 | 0 | - | Unknown |
| EQT Partners S.R.L. CRD: 305204 | - | 0 | 0 | - | Unknown |
| EQT Partners SAS CRD: 310185 | - | 0 | 0 | - | Unknown |