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 |
|---|---|---|---|---|---|
| Equivest, Inc. CRD: 14010 | - | 0 | 0 | A | INACTIVE |
| Equus Capital Partners, Ltd. CRD: 158719 | - | 0 | 1 | - | Unknown |
| Equus Financial Consulting LLC CRD: 131449 | CT | 0 | 3 | A | Active |
| Equus Financial Group, Inc. CRD: 30110 | - | 0 | 0 | A | INACTIVE |
| Equus Management CRD: 175452 | - | 0 | 0 | - | Unknown |
| Equus Private Wealth Management LLC CRD: 144367 | - | 0 | 0 | - | Unknown |
| Equus Securities Incorporated CRD: 16285 | - | 0 | 0 | A | INACTIVE |
| EQV Advisory, LLC CRD: 338271 | - | 0 | 1 | - | Unknown |
| EQV Capital, L.P. CRD: 335827 | - | 0 | 1 | - | Unknown |
| ERA Capital Management LLC CRD: 168089 | - | 0 | 1 | - | Unknown |
| ERA Financial Advisors CRD: 334404 | - | 0 | 1 | - | Unknown |
| ERA Global Technologies CRD: 339601 | - | 0 | 1 | - | Unknown |
| ERA Partners LLC CRD: 307400 | - | 0 | 1 | - | Unknown |
| ERA Southwest Securities, Inc. CRD: 15637 | - | 0 | 0 | A | INACTIVE |
| ERA Ventures Management LP CRD: 323572 | - | 0 | 1 | - | Unknown |
| ERA3, LLC CRD: 284693 | - | 0 | 1 | - | Unknown |
| Eraam CRD: 142299 | - | 0 | 0 | - | Unknown |
| Erben Associates, LLC CRD: 148703 | - | 0 | 3 | - | Unknown |
| ERC Equity Group, Inc. CRD: 14880 | - | 0 | 0 | A | INACTIVE |
| Erenda Capital CRD: 328252 | - | 0 | 2 | - | Unknown |
| Erez Asset Management, LLC CRD: 332027 | - | 0 | 1 | - | Unknown |
| Erez Capital LLC CRD: 333077 | - | 0 | 0 | - | Unknown |
| Erfco Securities, Inc. CRD: 15489 | - | 0 | 0 | A | INACTIVE |
| ERG Asset Management LLC CRD: 161694 | - | 0 | 1 | - | Unknown |
| ERG Securities (US) LLC CRD: 121057 | CT | 0 | 2 | A | Active |
| Ergawealth Advisors, Inc. CRD: 290030 | - | 0 | 1 | - | Unknown |
| Ergoteles Capital CRD: 165309 | - | 0 | 0 | - | Unknown |
| Ergus Asset Management Ltd. CRD: 166707 | - | 0 | 0 | - | Unknown |
| Erguz, LLC CRD: 168009 | - | 0 | 1 | - | Unknown |
| Eric B.JOHNSON Financial Advising CRD: 126132 | - | 0 | 0 | - | Unknown |
| Eric Krone Associates, Inc. CRD: 125792 | - | 0 | 1 | - | Unknown |
| Eric M Flanagan Trading, LLC CRD: 333349 | - | 0 | 0 | - | Unknown |
| Eric Vigo Bradham CRD: 134977 | - | 0 | 0 | - | Unknown |
| Erica Hall Wealth Advisors, LLC. CRD: 152984 | - | 0 | 1 | - | Unknown |
| Erich Werner Investments, Inc. CRD: 142341 | - | 0 | 0 | - | Unknown |
| Erickson Advisors CRD: 118620 | - | 0 | 0 | - | Unknown |
| Erickson Financial Group, LLC CRD: 299818 | - | 0 | 1 | - | Unknown |
| Erickson Financial Solutions, LLC CRD: 142155 | - | 0 | 0 | - | Unknown |
| Erickson Financial Solutions, LLC CRD: 115523 | - | 0 | 2 | - | Unknown |
| Erickson Wealth & TAX Management CRD: 127537 | - | 0 | 0 | - | Unknown |
| Erickson, Eileen Marie CRD: 113486 | - | 0 | 0 | - | Unknown |
| Erie Capital Investment Corporation CRD: 10256 | - | 0 | 0 | A | INACTIVE |
| Erie Securities Corporation CRD: 8093 | - | 0 | 0 | A | INACTIVE |
| Erie Street Growth Partners CRD: 326011 | - | 0 | 0 | - | Unknown |
| Eriksen Capital Management CRD: 138089 | - | 0 | 1 | - | Unknown |
| Erin Securities Inc. CRD: 17060 | - | 0 | 0 | A | INACTIVE |
| Eris Advisory GMBH CRD: 305936 | - | 0 | 0 | - | Unknown |
| Erisa Advisers, Inc. CRD: 170487 | - | 0 | 1 | - | Unknown |
| Erisa Plan Services Inc CRD: 108533 | - | 0 | 0 | - | Unknown |
| ERK Wealth Advisors, LLC CRD: 305113 | - | 0 | 0 | - | Unknown |