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 |
|---|---|---|---|---|---|
| Essential Management CRD: 335551 | - | 0 | 1 | - | Unknown |
| Essential Partners LLC CRD: 315959 | - | 0 | 2 | - | Unknown |
| Essential Planners CRD: 271037 | - | 0 | 0 | - | Unknown |
| Essential Planning, LLC CRD: 106651 | - | 0 | 3 | - | Unknown |
| Essential Securities, Inc. CRD: 122931 | - | 0 | 0 | A | INACTIVE |
| Essential Wealth CRD: 299913 | - | 0 | 0 | - | Unknown |
| Essential Wealth Management Group, LLC CRD: 143096 | - | 0 | 2 | - | Unknown |
| Essentria Financial Experience, LLC CRD: 144856 | - | 0 | 0 | - | Unknown |
| Essex & York, Inc. CRD: 118495 | - | 3 | 0 | C | INACTIVE |
| Essex Advisory CRD: 312140 | - | 0 | 2 | - | Unknown |
| Essex Asset Advisors Inc. CRD: 164076 | - | 0 | 1 | - | Unknown |
| Essex Asset Management LLC CRD: 148989 | - | 0 | 0 | - | Unknown |
| Essex Brothers and Associates Inc. CRD: 13935 | - | 0 | 0 | A | INACTIVE |
| Essex Capital Management CRD: 164782 | - | 0 | 1 | - | Unknown |
| Essex Capital Markets, Inc. CRD: 11896 | - | 0 | 0 | A | INACTIVE |
| Essex Company CRD: 7598 | - | 0 | 0 | A | INACTIVE |
| Essex Financial Advisors, Inc. CRD: 128826 | - | 0 | 0 | - | Unknown |
| Essex Financial Services, Inc. CRD: 19627 | - | 0 | 0 | A | INACTIVE |
| Essex Financial Services, Inc. CRD: 127549 | - | 5 | 13 | C | INACTIVE |
| Essex Investment Management Company, LLC CRD: 109962 | - | 0 | 1 | - | Unknown |
| Essex LLC CRD: 108352 | - | 0 | 2 | - | Unknown |
| Essex National Securities, LLC CRD: 25454 | - | 5 | 0 | C | INACTIVE |
| Essex Partners, Ltd. CRD: 10229 | - | 0 | 0 | A | INACTIVE |
| Essex Private Wealth Management LLC CRD: 149991 | - | 0 | 2 | - | Unknown |
| Essex Radez LLC CRD: 34649 | - | 25 | 0 | F | INACTIVE |
| Essex Ridge Capital Group, LLC CRD: 145795 | - | 0 | 1 | - | Unknown |
| Essex Securities LLC CRD: 46605 | NJ | 3 | 3 | B | Active |
| Essig, Trevor C. CRD: 107685 | - | 0 | 0 | A | INACTIVE |
| Estabrook Capital Management LLC CRD: 128856 | - | 0 | 1 | - | Unknown |
| Estabrook Investment Advisor LLC CRD: 169438 | - | 0 | 0 | - | Unknown |
| Estancia Capital Management, LLC CRD: 166478 | - | 0 | 1 | - | Unknown |
| Estate & Financial Strategies, Inc. CRD: 129965 | - | 0 | 0 | - | Unknown |
| Estate & Retirement Strategies LLC CRD: 117134 | - | 0 | 1 | - | Unknown |
| Estate & Trust Advisors CRD: 123802 | - | 0 | 1 | - | Unknown |
| Estate Asset Management, LLC CRD: 152296 | - | 0 | 0 | - | Unknown |
| Estate Management Counselors,LLC CRD: 126624 | - | 0 | 2 | - | Unknown |
| Estate of GEO. S. Heckler, Inc. CRD: 17426 | - | 0 | 0 | A | INACTIVE |
| Estate Performance Advisors L.L.C. CRD: 300658 | - | 0 | 1 | - | Unknown |
| Estate Planners of NEW England, LLC CRD: 133353 | - | 0 | 2 | - | Unknown |
| Estate Planners, Inc. CRD: 14531 | - | 0 | 0 | A | INACTIVE |
| Estate Planning Advisors, Inc. CRD: 134224 | - | 0 | 0 | - | Unknown |
| Estate Planning Associates, Inc. CRD: 1764 | - | 0 | 0 | A | INACTIVE |
| Estate Preservation Research Group CRD: 312081 | - | 0 | 0 | - | Unknown |
| Estate Protectors Capital Management CRD: 167501 | - | 0 | 0 | - | Unknown |
| Estatemark Financial, Inc. CRD: 140364 | - | 0 | 0 | - | Unknown |
| Estee Advisors LLC CRD: 317094 | - | 0 | 2 | - | Unknown |
| Estep Capital Management CRD: 134250 | - | 0 | 1 | - | Unknown |
| Estes Financial Services, Inc. CRD: 146590 | - | 0 | 1 | - | Unknown |
| Esther M Mcgann , MBA, CFP CRD: 109317 | - | 0 | 0 | - | Unknown |
| Estlander & Partners Ltd. CRD: 165903 | - | 0 | 0 | - | Unknown |