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.
A 25,250 (93.0%)
B 1,138 (4.2%)
C 402 (1.5%)
D 271 (1.0%)
F 91 (0.3%)
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 |
|---|---|---|---|---|---|
| Toba Financial CRD: 323181 | - | 0 | 1 | A | Unknown |
| Tobam CRD: 157107 | - | 0 | 0 | A | Unknown |
| Tobe Investments CRD: 307159 | - | 0 | 0 | A | Unknown |
| Tobi, Inc. CRD: 333194 | - | 0 | 2 | A | Unknown |
| Tobias Bros. Inc. CRD: 43771 | - | 1 | 0 | B | INACTIVE |
| TOC-23 ERA CRD: 337423 | - | 0 | 1 | A | Unknown |
| Toce Financial Group CRD: 297965 | - | 0 | 1 | A | Unknown |
| Tocks, John Hounsley CRD: 33786 | - | 0 | 0 | A | INACTIVE |
| Todd & Todd Investors Corp. CRD: 16609 | - | 0 | 0 | A | INACTIVE |
| Todd a. Drummey, CFP CRD: 120412 | - | 0 | 0 | A | Unknown |
| Todd Market Timer CRD: 139273 | - | 0 | 0 | A | Unknown |
| Todd Merrell, LLC CRD: 148485 | - | 0 | 0 | A | Unknown |
| Todd Securities, LLC CRD: 116150 | - | 0 | 0 | A | INACTIVE |
| Todhunter & Co. CRD: 18319 | - | 0 | 0 | A | INACTIVE |
| Todvest CRD: 174166 | - | 0 | 0 | A | Unknown |
| TOF Manager, LLC CRD: 330178 | - | 0 | 1 | A | Unknown |
| Togwotee CIO CRD: 311981 | - | 0 | 2 | A | Unknown |
| Tokenai LLC CRD: 292886 | - | 0 | 0 | A | Unknown |
| Tokenova, Inc. CRD: 317919 | - | 0 | 1 | A | Unknown |
| Told Securities, Inc. CRD: 5806 | - | 0 | 0 | A | INACTIVE |
| Tollner & Bean, Inc. CRD: 3594 | - | 0 | 0 | A | INACTIVE |
| Toloka LLC CRD: 329118 | - | 0 | 0 | A | Unknown |
| Tolsma Investments, LLC CRD: 287941 | - | 0 | 1 | A | Unknown |
| TOM Pemberton DBA Pemberton Financial Planning CRD: 143006 | - | 0 | 0 | A | Unknown |
| TOM Varga Advisory Firm, Inc. CRD: 158907 | - | 0 | 0 | A | Unknown |
| Tomales BAY Capital CRD: 298932 | - | 0 | 1 | A | Unknown |
| Tomex Inc. CRD: 35868 | - | 0 | 0 | A | INACTIVE |
| Tommy N Sausley, RIA CRD: 145501 | - | 0 | 0 | A | Unknown |
| Tomorrow Wealth, LLC CRD: 290451 | - | 0 | 0 | A | Unknown |
| Tompkins & Co. CRD: 157240 | - | 0 | 1 | A | Unknown |
| TON POH Capital CRD: 288214 | - | 0 | 0 | A | Unknown |
| Tong Yang Securities (America), Inc. CRD: 30701 | - | 0 | 0 | A | INACTIVE |
| Tonge Investments CRD: 119651 | - | 0 | 1 | A | Unknown |
| Tongore Management CRD: 287893 | - | 0 | 0 | A | Unknown |
| Toni L. Ladnier, CPA LLC CRD: 293900 | - | 0 | 1 | A | Unknown |
| Tony Chrampanis & Co., L.L.C. CRD: 133254 | - | 0 | 1 | A | Unknown |
| Tony Pondel, Certified Financial Planner, P.C. CRD: 125673 | - | 0 | 0 | A | Unknown |
| Toole Financial CRD: 333200 | - | 0 | 1 | A | Unknown |
| Toona Tree Capital Limited CRD: 289826 | - | 0 | 0 | A | Unknown |
| Toona Tree Capital PTE. Ltd. CRD: 323681 | - | 0 | 0 | A | Unknown |
| Tooth & Coin Wealth CRD: 317202 | - | 0 | 1 | A | Unknown |
| TOP Mark Capital Management CRD: 319106 | - | 0 | 1 | A | Unknown |
| TOP Private Wealth CRD: 331000 | - | 0 | 1 | A | Unknown |
| TOP Tier Capital Partners, LLC CRD: 144546 | - | 0 | 1 | A | Unknown |
| TOP-Down Technicals LLC CRD: 172762 | - | 0 | 0 | A | Unknown |
| Topa Topa Capital CRD: 332206 | - | 0 | 0 | A | Unknown |
| Topaz Asset Management CRD: 315029 | - | 0 | 0 | A | Unknown |
| Topcap Partners, Inc. CRD: 283457 | NY | 0 | 2 | A | Active |
| Tora Capital, LLC CRD: 152519 | - | 0 | 0 | A | Unknown |
| Tora Trading Services, LLC CRD: 135423 | NY | 0 | 3 | A | Active |