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 |
|---|---|---|---|---|---|
| ERK Wealth Advisors, LLC CRD: 336797 | - | 0 | 1 | - | Unknown |
| Erke, Ernie CRD: 152501 | - | 0 | 0 | - | Unknown |
| Erlandson Wealth Management CRD: 157724 | - | 0 | 3 | - | Unknown |
| Erlang101 Capital Management LLC CRD: 172532 | - | 0 | 1 | - | Unknown |
| Erli Ventures MC, LLC CRD: 288670 | - | 0 | 1 | - | Unknown |
| Erlich, Simon CRD: 43528 | - | 0 | 0 | A | INACTIVE |
| Erman Retirement Advisory CRD: 113903 | - | 0 | 0 | - | Unknown |
| Ernest J. Brousseau, CPA, CFP® CRD: 128112 | - | 0 | 1 | - | Unknown |
| Ernest Salgan CRD: 283695 | - | 0 | 1 | - | Unknown |
| Ernst & Co. Wealth Management, LLC CRD: 269911 | - | 0 | 2 | - | Unknown |
| Ernst & Young Capital Advisors, LLC CRD: 152514 | NY | 0 | 11 | A | Active |
| Ernst & Young Investment Advisers LLP CRD: 110921 | - | 0 | 181 | - | Unknown |
| Ernst Capital Advisors LLC CRD: 159082 | - | 0 | 0 | - | Unknown |
| Ernst Capital Securities, LLC CRD: 148904 | SD | 0 | 2 | A | Active |
| ERS Capital Management, LLC CRD: 285124 | - | 0 | 0 | - | Unknown |
| Erudite Capital CRD: 308576 | - | 0 | 0 | - | Unknown |
| Erudite Investments, Inc. CRD: 13100 | - | 0 | 0 | A | INACTIVE |
| Erudite Trading LLC CRD: 326690 | FL | 0 | 1 | A | Active |
| Erupt Capital LLC CRD: 330723 | - | 0 | 1 | - | Unknown |
| Ervie ROY Group, Inc. CRD: 128521 | - | 0 | 0 | A | INACTIVE |
| Ervin Investment Management CRD: 299739 | - | 0 | 3 | - | Unknown |
| Erzinger, Christian Howard CRD: 42838 | - | 0 | 0 | A | INACTIVE |
| ES Savyon Ventures Management Ltd. CRD: 328879 | - | 0 | 0 | - | Unknown |
| ES Securities Inc. CRD: 14741 | - | 0 | 0 | A | INACTIVE |
| ESB Investments LLC CRD: 293253 | - | 0 | 0 | - | Unknown |
| ESB Wealth Management, LLC CRD: 281835 | - | 0 | 0 | - | Unknown |
| ESC Investment Advisors LLC CRD: 162252 | - | 0 | 0 | - | Unknown |
| Escalator Securities, Inc. CRD: 16985 | - | 0 | 0 | A | INACTIVE |
| Escalera Community Investments, LLC CRD: 285710 | - | 0 | 1 | - | Unknown |
| Escape Velocity Capital LLC CRD: 336654 | - | 0 | 1 | - | Unknown |
| Eschaton Opportunities Fund Management LP CRD: 285575 | - | 0 | 1 | - | Unknown |
| Eschler Asset Management LLP CRD: 311807 | - | 0 | 0 | - | Unknown |
| Esclare Partners LLC CRD: 318544 | - | 0 | 0 | - | Unknown |
| Escondido Management LLC CRD: 165750 | - | 0 | 0 | - | Unknown |
| Escp MGMT LLC CRD: 307794 | - | 0 | 1 | - | Unknown |
| ESD Advisory Services Inc CRD: 104927 | - | 0 | 1 | - | Unknown |
| ESD Management IV Limited CRD: 163850 | - | 0 | 0 | - | Unknown |
| ESF Equity, LP CRD: 173087 | - | 4 | 0 | C | INACTIVE |
| ESF Financial Planning Group CRD: 125508 | - | 0 | 0 | - | Unknown |
| ESF Wealth Management LLC CRD: 173740 | - | 0 | 0 | - | Unknown |
| ESG Wealth Advisors CRD: 324655 | - | 0 | 1 | - | Unknown |
| Esguard Technologies LP CRD: 306873 | - | 0 | 0 | - | Unknown |
| ESH Wealth Management LLC CRD: 338268 | - | 0 | 1 | - | Unknown |
| ESH, LLC CRD: 137558 | - | 0 | 0 | A | INACTIVE |
| Eshel BOT CRD: 340187 | - | 0 | 1 | - | Unknown |
| Eshoo, John Patrick CRD: 113522 | - | 0 | 0 | A | INACTIVE |
| ESI Advisors CRD: 283973 | - | 0 | 1 | - | Unknown |
| ESI Capital Management CRD: 310153 | - | 0 | 0 | - | Unknown |
| ESI Financial Services, Inc. CRD: 149082 | - | 0 | 1 | - | Unknown |
| ESI Securities, Inc. CRD: 7905 | - | 0 | 0 | A | INACTIVE |