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 |
|---|---|---|---|---|---|
| Ewco, Inc. CRD: 8080 | - | 0 | 0 | A | INACTIVE |
| Ewealth Consulting, LLC CRD: 282253 | - | 0 | 0 | - | Unknown |
| Ewealth Securities, Inc. CRD: 25589 | - | 4 | 0 | C | INACTIVE |
| Ewing & Partners, LLC CRD: 114980 | - | 0 | 0 | - | Unknown |
| Ewing Bemiss CRD: 32214 | - | 0 | 0 | A | INACTIVE |
| Ewing Capital, Inc. CRD: 10841 | - | 0 | 0 | A | INACTIVE |
| Ewing Morris & Co. Investment Partners Ltd. CRD: 173004 | - | 0 | 0 | - | Unknown |
| Ewing Securities, Inc. CRD: 13195 | - | 0 | 0 | A | INACTIVE |
| Ewing Wealth Management CRD: 281903 | - | 0 | 1 | - | Unknown |
| Ewing, Creath & Brown Securities, Inc. CRD: 8675 | - | 0 | 0 | A | INACTIVE |
| EWM Advisory CRD: 282616 | - | 0 | 1 | - | Unknown |
| EWM Wealth Management LLC CRD: 121596 | - | 0 | 0 | - | Unknown |
| Eworth Advisors CRD: 306740 | - | 0 | 0 | - | Unknown |
| EWP CRD: 172193 | - | 0 | 0 | - | Unknown |
| EWS Management LLC CRD: 327166 | - | 0 | 1 | - | Unknown |
| EX Ante Capital Management LLC CRD: 289570 | - | 0 | 0 | - | Unknown |
| EX Cathedra LLC CRD: 331577 | - | 0 | 1 | - | Unknown |
| EX/Ante LLC CRD: 326170 | - | 0 | 1 | - | Unknown |
| EX24, Inc. CRD: 120449 | - | 0 | 0 | A | INACTIVE |
| Exact Strategies, LLC CRD: 288366 | - | 0 | 0 | - | Unknown |
| Exacta Capital Management LLC CRD: 164322 | - | 0 | 0 | - | Unknown |
| Exagon Impact Capital LLC CRD: 334623 | - | 0 | 1 | - | Unknown |
| Exaltare Capital Management, LLC CRD: 291756 | - | 0 | 0 | - | Unknown |
| Exane, Inc. CRD: 41784 | - | 4 | 0 | C | INACTIVE |
| Exantas Capital Manager Inc. CRD: 285395 | - | 0 | 0 | - | Unknown |
| Exborder Partners LLC CRD: 339419 | - | 0 | 1 | - | Unknown |
| Excalibur Advisors, L.L.C. CRD: 112094 | - | 0 | 0 | A | INACTIVE |
| Excalibur Consulting, LLC CRD: 157390 | - | 0 | 0 | - | Unknown |
| Excalibur Financial Group, Inc. CRD: 16355 | - | 0 | 0 | A | INACTIVE |
| Excalibur Management Corp CRD: 110836 | - | 0 | 6 | - | Unknown |
| Excalibur Securities, Inc. CRD: 13753 | - | 0 | 0 | A | INACTIVE |
| Exceed Advisory LLC CRD: 170403 | - | 0 | 2 | - | Unknown |
| Excel Advisors, LLC CRD: 132050 | - | 0 | 0 | - | Unknown |
| Excel Capital Management Corp CRD: 109229 | - | 0 | 1 | - | Unknown |
| Excel Financial, LLC CRD: 145301 | - | 0 | 4 | - | Unknown |
| Excel Investment (HK) Limited CRD: 282210 | - | 0 | 0 | - | Unknown |
| Excel Venture Management CRD: 161756 | - | 0 | 1 | - | Unknown |
| Excel Wealth Management, LLC CRD: 299602 | - | 0 | 3 | - | Unknown |
| Excelerate Health Ventures LLC CRD: 312957 | - | 0 | 1 | - | Unknown |
| Excell Technology Ventures CRD: 317790 | - | 0 | 1 | - | Unknown |
| Excellere Partners CRD: 142904 | - | 0 | 1 | - | Unknown |
| Excellion Finance Management, LLC CRD: 340166 | - | 0 | 1 | - | Unknown |
| Excelsior CRD: 311850 | - | 0 | 2 | - | Unknown |
| Excelsior Capital Corporation CRD: 14546 | - | 0 | 0 | A | INACTIVE |
| Excelsior Dynamic Capital CRD: 329199 | - | 0 | 1 | - | Unknown |
| Excelsior Equities CRD: 309158 | - | 0 | 0 | A | INACTIVE |
| Excelsior Investors CRD: 108048 | - | 0 | 1 | - | Unknown |
| Excelsior Opportunity Advisors LLC CRD: 163123 | - | 0 | 0 | - | Unknown |
| Excelsior Partners Limited CRD: 163218 | - | 0 | 0 | - | Unknown |
| Excelsior Renewable Energy Management Company LP CRD: 289890 | - | 0 | 1 | - | Unknown |