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 |
|---|---|---|---|---|---|
| Aitken Research Group LLC CRD: 154502 | - | 0 | 0 | - | Unknown |
| Aito Capital Fund I GP LLC CRD: 336107 | - | 0 | 1 | - | Unknown |
| Aitrade Ltd CRD: 334311 | - | 0 | 1 | - | Unknown |
| AIX Alpha LLC CRD: 341115 | - | 0 | 1 | - | Unknown |
| AIX Ventures LLC CRD: 322702 | - | 0 | 1 | - | Unknown |
| Aizer, Samuel CRD: 120028 | - | 0 | 0 | A | INACTIVE |
| AJ Advisors CRD: 321606 | - | 0 | 3 | - | Unknown |
| AJ Capital Management LLC CRD: 291880 | - | 0 | 1 | - | Unknown |
| AJ Patti Advisors LLC CRD: 326914 | - | 0 | 2 | - | Unknown |
| AJ Trading, LLC CRD: 104181 | - | 0 | 0 | A | INACTIVE |
| AJ Wealth CRD: 161950 | - | 0 | 0 | - | Unknown |
| AJA Financial LLC CRD: 307409 | - | 0 | 1 | - | Unknown |
| Ajaks Trading Co., LLC CRD: 124060 | - | 0 | 0 | A | INACTIVE |
| Ajaks Trading Co., LLC CRD: 129773 | - | 0 | 0 | A | INACTIVE |
| Ajax Asset MGMT., LLC CRD: 328746 | - | 0 | 2 | - | Unknown |
| Ajax Capital Advisors, Inc. CRD: 150229 | - | 0 | 2 | - | Unknown |
| Ajax Capital LLC CRD: 298032 | - | 0 | 2 | - | Unknown |
| Ajax Health Management Company, LLC CRD: 340280 | - | 0 | 1 | - | Unknown |
| Ajax Investments, LLC CRD: 31799 | - | 5 | 0 | C | INACTIVE |
| Ajay Agrawal CRD: 334610 | - | 0 | 1 | - | Unknown |
| Ajay Capital Management CRD: 314539 | - | 0 | 0 | - | Unknown |
| AJB Capital Managers LLC CRD: 324444 | - | 0 | 1 | - | Unknown |
| AJD Trading LLC CRD: 137826 | - | 0 | 0 | A | INACTIVE |
| AJD Wealth CRD: 328624 | - | 0 | 1 | - | Unknown |
| AJE Wealth Management, LLC CRD: 165672 | - | 0 | 0 | - | Unknown |
| Ajeej Capital CRD: 335055 | - | 0 | 0 | - | Unknown |
| AJI Securities Corp. CRD: 47128 | - | 0 | 0 | A | INACTIVE |
| AJO CRD: 105545 | - | 0 | 0 | - | Unknown |
| AJP Financial Services, LLC CRD: 290623 | - | 0 | 1 | - | Unknown |
| AK Advisors CRD: 308038 | - | 0 | 1 | - | Unknown |
| AK Butler Securities Corporation CRD: 16498 | - | 0 | 0 | A | INACTIVE |
| AK Capital LLC CRD: 28345 | - | 1 | 0 | B | INACTIVE |
| AK Capital, LLC CRD: 35413 | - | 1 | 0 | B | INACTIVE |
| AK Financial Group CRD: 130338 | - | 0 | 0 | - | Unknown |
| AK Global Asset Management, LLC CRD: 137530 | - | 0 | 3 | - | Unknown |
| AK Investing CRD: 305293 | - | 0 | 3 | - | Unknown |
| Akamai Wealth Management, LLC CRD: 322422 | - | 0 | 1 | - | Unknown |
| Akap, LLC CRD: 154218 | - | 2 | 0 | B | INACTIVE |
| Akar Capital Management, Inc. CRD: 10791 | FL | 2 | 3 | B | Active |
| Akaris Global Partners, LP CRD: 304944 | - | 0 | 0 | - | Unknown |
| Akaz Investment Partners LP CRD: 296991 | - | 0 | 0 | - | Unknown |
| AKC Consulting Group LLC CRD: 282831 | - | 0 | 0 | - | Unknown |
| AKF Fund Holdings, LLC CRD: 311331 | - | 0 | 1 | - | Unknown |
| AKG Financial Group CRD: 316548 | - | 0 | 1 | - | Unknown |
| Akin BAY Company LLC CRD: 29493 | NY | 1 | 2 | B | Active |
| Akin Investments, L.L.C. CRD: 281450 | - | 0 | 2 | - | Unknown |
| Akina Limited CRD: 138025 | - | 0 | 0 | - | Unknown |
| Akins Financial, LLC CRD: 284151 | - | 0 | 0 | - | Unknown |
| AKJ CRD: 38702 | - | 2 | 0 | B | INACTIVE |
| AKJ Trading Limited Partnership CRD: 46331 | - | 0 | 0 | A | INACTIVE |