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 |
|---|---|---|---|---|---|
| Excelsior Wealth Management LLC CRD: 326976 | - | 0 | 0 | - | Unknown |
| Excelsis Research LLC CRD: 291466 | - | 0 | 0 | - | Unknown |
| Excelsus Capital Management CRD: 130886 | - | 0 | 2 | - | Unknown |
| Exception Capital LLP CRD: 171556 | - | 0 | 0 | - | Unknown |
| Exceptional Capital, LLC CRD: 317856 | - | 0 | 1 | - | Unknown |
| Exceptional Wealth & Family Office CRD: 340444 | - | 0 | 1 | - | Unknown |
| Exchange Capital Management Inc CRD: 104875 | - | 0 | 0 | - | Unknown |
| Exchange Connectivity, Inc. CRD: 104225 | - | 0 | 0 | A | INACTIVE |
| Exchange Place Advisors, LLC CRD: 125240 | - | 0 | 3 | - | Unknown |
| Exchange Securities, Inc. CRD: 13827 | - | 0 | 0 | A | INACTIVE |
| Exchange Services, Inc. CRD: 7743 | - | 0 | 0 | A | INACTIVE |
| Exchange Street Capital CRD: 333360 | - | 0 | 1 | - | Unknown |
| Exchange Traded Concepts, LLC CRD: 151197 | - | 0 | 1 | - | Unknown |
| Exchangeright Securities, LLC CRD: 283430 | CA | 0 | 2 | A | Active |
| Excite Capital LLC CRD: 338935 | - | 0 | 1 | - | Unknown |
| Exciten Capital LLC CRD: 168580 | - | 0 | 2 | - | Unknown |
| Exco RMJ International Inc. CRD: 21287 | - | 0 | 0 | A | INACTIVE |
| Excolere Equity Partners, LLC CRD: 324822 | - | 0 | 1 | - | Unknown |
| Excomp Asset Management Ltd CRD: 110434 | - | 0 | 1 | - | Unknown |
| Excorde Capital LLC CRD: 337589 | - | 0 | 0 | - | Unknown |
| Excurro Capital LLC CRD: 173451 | - | 0 | 0 | - | Unknown |
| Excypher Exchange Ltd CRD: 338500 | - | 0 | 1 | - | Unknown |
| Exds Capital CRD: 338093 | - | 0 | 0 | - | Unknown |
| Execution Access, LLC CRD: 148423 | - | 1 | 0 | B | INACTIVE |
| Execution Services Incorporated CRD: 7570 | - | 0 | 0 | A | INACTIVE |
| Executive Advisors, Inc. CRD: 114867 | - | 0 | 0 | - | Unknown |
| Executive Asset Advisors LLC CRD: 124369 | - | 0 | 1 | - | Unknown |
| Executive Business Advisors LLC CRD: 298947 | - | 0 | 0 | - | Unknown |
| Executive Business Financial Planning CRD: 132861 | - | 0 | 2 | - | Unknown |
| Executive Capital Group, Inc. CRD: 17824 | - | 0 | 0 | A | INACTIVE |
| Executive Compensation Planners, Inc. CRD: 116375 | - | 0 | 0 | - | Unknown |
| Executive Financial Resources, Inc. CRD: 118326 | - | 0 | 0 | - | Unknown |
| Executive Financial Services, Inc. CRD: 13105 | - | 0 | 0 | A | INACTIVE |
| Executive Financial Services, Inc. CRD: 116839 | - | 0 | 0 | - | Unknown |
| Executive Investment Advisors, LLC CRD: 131201 | - | 0 | 0 | - | Unknown |
| Executive Investment Services, LLC CRD: 152410 | - | 0 | 1 | - | Unknown |
| Executive Investors Corporation CRD: 3702 | - | 1 | 0 | B | INACTIVE |
| Executive Money Managers, Inc. CRD: 128362 | - | 0 | 3 | - | Unknown |
| Executive Planning Associates CRD: 128762 | - | 0 | 0 | - | Unknown |
| Executive Planning LLC CRD: 290768 | - | 0 | 0 | - | Unknown |
| Executive Services Securities, LLC CRD: 25299 | GA | 0 | 3 | A | Active |
| Executive Services, LLC CRD: 283898 | - | 0 | 1 | - | Unknown |
| Executive Wealth Counselors, LLC CRD: 141529 | - | 0 | 0 | - | Unknown |
| Executive Wealth Group, LLC CRD: 283103 | - | 0 | 0 | - | Unknown |
| Executive Wealth Management CRD: 281667 | - | 0 | 0 | - | Unknown |
| Executive Wealth Management, LLC CRD: 140736 | - | 0 | 0 | - | Unknown |
| Executive Wealth Partners CRD: 297608 | - | 0 | 1 | - | Unknown |
| Executive Wealth Services LLC CRD: 334950 | - | 0 | 0 | - | Unknown |
| Executives' Independent Investment Company Inc. CRD: 4197 | - | 0 | 0 | A | INACTIVE |
| Exelauno Capital Management CRD: 293165 | - | 0 | 0 | - | Unknown |