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 |
|---|---|---|---|---|---|
| Akkadian Ventures Management Inc CRD: 165872 | - | 0 | 0 | - | Unknown |
| Akkadian Ventures, Inc. CRD: 171036 | - | 0 | 1 | - | Unknown |
| Akkadian Ventures, LLC CRD: 165963 | - | 0 | 0 | - | Unknown |
| Akkadian Wealth LLC CRD: 324482 | - | 0 | 1 | - | Unknown |
| AKL Capital, LLC CRD: 322090 | - | 0 | 1 | - | Unknown |
| AKM Advisory CRD: 170187 | - | 0 | 2 | - | Unknown |
| AKM Consulting Group LLC CRD: 126008 | - | 0 | 0 | - | Unknown |
| Akmazo Capital Management Co., LLC CRD: 315831 | - | 0 | 1 | - | Unknown |
| AKO Capital LLP CRD: 160379 | - | 0 | 0 | - | Unknown |
| AKO Fund Manager, LLC CRD: 325073 | - | 0 | 1 | - | Unknown |
| Akram M. Omari, CPA CRD: 135499 | - | 0 | 1 | - | Unknown |
| Akrish Financial Advisory CRD: 288700 | - | 0 | 1 | - | Unknown |
| Akros Investments, Inc. CRD: 120425 | - | 0 | 2 | - | Unknown |
| Akros Securities, Inc CRD: 103748 | - | 0 | 0 | A | INACTIVE |
| Aksarben Discovery Capital Management, Inc. CRD: 310991 | - | 0 | 1 | - | Unknown |
| Aksia CRD: 161848 | - | 0 | 0 | - | Unknown |
| Aksia CA LLC CRD: 159043 | - | 0 | 1 | - | Unknown |
| Aksia Chicago LLC CRD: 286459 | - | 0 | 0 | - | Unknown |
| Aksia LLC CRD: 143422 | - | 0 | 1 | - | Unknown |
| Aksia Partners LLC CRD: 337925 | - | 0 | 1 | - | Unknown |
| Aksum Wealth, LLC CRD: 322316 | - | 0 | 2 | - | Unknown |
| Akuna Securities LLC CRD: 159041 | IL | 7 | 1 | D | Active |
| AL Hewitt, Inc. CRD: 136546 | - | 0 | 0 | - | Unknown |
| AL Locy Financial Services LLC CRD: 135869 | - | 0 | 1 | - | Unknown |
| AL-Bawader Capital Ltd. CRD: 288278 | - | 0 | 0 | - | Unknown |
| ALA Trading L.L.C. CRD: 134746 | - | 1 | 0 | B | INACTIVE |
| Alabama Wealth Management, LLC CRD: 315502 | - | 0 | 0 | - | Unknown |
| Aladdin Capital LLC CRD: 103766 | - | 3 | 0 | C | INACTIVE |
| Alaethes Wealth, LLC CRD: 304920 | - | 0 | 4 | - | Unknown |
| Alagna Advisors LLC CRD: 300912 | - | 0 | 0 | - | Unknown |
| Alaia Capital, LLC CRD: 226775 | - | 0 | 1 | - | Unknown |
| Alakai Securities Inc. CRD: 325911 | - | 0 | 1 | - | Unknown |
| Alamco Securities, Inc. CRD: 10443 | - | 0 | 0 | A | INACTIVE |
| Alameda Chenu & Jensen, Inc. CRD: 7651 | - | 0 | 0 | A | INACTIVE |
| Alamein Capital CRD: 309583 | - | 0 | 0 | A | INACTIVE |
| Alamere Private Equity Management LLC CRD: 300543 | - | 0 | 1 | - | Unknown |
| Alaminos Wealth Planning CRD: 338055 | - | 0 | 1 | - | Unknown |
| Alamo Advisors, LP CRD: 122290 | - | 0 | 3 | - | Unknown |
| Alamo Capital CRD: 26193 | CA | 3 | 5 | B | Active |
| Alamo Insurance & Wealth Management CRD: 173674 | - | 0 | 0 | - | Unknown |
| Alamo Management CRD: 318202 | - | 0 | 1 | - | Unknown |
| Alamo Securities, Inc. CRD: 18324 | - | 0 | 0 | A | INACTIVE |
| Alamos Capital, LLC CRD: 332985 | - | 0 | 1 | - | Unknown |
| Alamut Capital CRD: 335611 | - | 0 | 0 | - | Unknown |
| Alan & Company, LLC CRD: 341867 | - | 0 | 1 | - | Unknown |
| Alan B. Lancz & Associates, Inc. CRD: 105363 | - | 0 | 2 | - | Unknown |
| Alan Baer Investment Advisory, LLC CRD: 134069 | - | 0 | 0 | - | Unknown |
| Alan Biller and Associates CRD: 105283 | - | 0 | 1 | - | Unknown |
| Alan Hoefer & Company CRD: 23053 | - | 0 | 0 | A | INACTIVE |
| Alan L. Rosenberg & Company, Inc. CRD: 131005 | - | 0 | 0 | - | Unknown |