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 |
|---|---|---|---|---|---|
| Exelt, LLC CRD: 165423 | - | 0 | 0 | - | Unknown |
| Exemplar Capital, LLC CRD: 155786 | MA | 0 | 5 | A | Active |
| Exemplar Wealth Advisors, LLC CRD: 322419 | - | 0 | 1 | - | Unknown |
| Exemplar Wealth Partners LLC CRD: 330163 | - | 0 | 3 | - | Unknown |
| Exencial Wealth Advisors CRD: 130475 | - | 0 | 0 | - | Unknown |
| Exeq Financial, LLC. CRD: 238796 | - | 0 | 0 | - | Unknown |
| Exeter Capital CRD: 308310 | - | 0 | 1 | - | Unknown |
| Exeter Capital Companies LLC CRD: 127101 | - | 0 | 0 | - | Unknown |
| Exeter Financial, LLC CRD: 143420 | - | 0 | 4 | - | Unknown |
| Exeter Investment Management CRD: 335442 | - | 0 | 1 | - | Unknown |
| Exeter Property Group, LLC CRD: 161935 | - | 0 | 1 | - | Unknown |
| Exeter Securities Corp. CRD: 26814 | - | 0 | 0 | A | INACTIVE |
| Exeter Securities Corporation CRD: 16543 | - | 0 | 0 | A | INACTIVE |
| Exeter Trust Corp CRD: 106556 | - | 0 | 0 | - | Unknown |
| Exeter, Ltd. CRD: 24454 | - | 1 | 0 | B | INACTIVE |
| EXG Nexus Solutions LLC CRD: 292007 | - | 0 | 0 | - | Unknown |
| Exgen Securities LLC CRD: 127472 | - | 0 | 0 | A | INACTIVE |
| Exhale Wealth CRD: 319219 | - | 0 | 1 | - | Unknown |
| EXI Investment Partners CRD: 313372 | - | 0 | 0 | - | Unknown |
| Exian Capital Advisors CRD: 325784 | - | 0 | 0 | - | Unknown |
| Exico, Inc. CRD: 157254 | - | 0 | 0 | - | Unknown |
| Exigent Alternative Capital LLC CRD: 154135 | - | 0 | 0 | - | Unknown |
| Exigent Capital Group Ltd. CRD: 334874 | - | 0 | 0 | - | Unknown |
| Exigent Financial CRD: 308428 | - | 0 | 0 | - | Unknown |
| Exigent Management Ltd. CRD: 286426 | - | 0 | 0 | - | Unknown |
| Exile Capital Management LP CRD: 297129 | - | 0 | 0 | - | Unknown |
| Exit Quotient Ventures, LLC CRD: 323843 | - | 0 | 1 | - | Unknown |
| Exit Wealth Advisors CRD: 332573 | - | 0 | 2 | - | Unknown |
| Exline Capital CRD: 318683 | - | 0 | 1 | - | Unknown |
| EXO Trading GP LLC CRD: 306425 | - | 0 | 0 | - | Unknown |
| Exoduspoint Capital Management, LP CRD: 294156 | - | 0 | 1 | - | Unknown |
| Exome Asset Management LLC CRD: 304585 | - | 0 | 1 | - | Unknown |
| Exos Asset Management LLC CRD: 305706 | - | 0 | 0 | - | Unknown |
| Exos Securities LLC CRD: 298276 | NY | 0 | 3 | A | Active |
| Exos Wealth Strategies, LLC CRD: 310869 | - | 0 | 6 | - | Unknown |
| Expa EC3 MGMT, LLC CRD: 323655 | - | 0 | 1 | - | Unknown |
| Expam Capital CRD: 301956 | - | 0 | 0 | - | Unknown |
| Expand Financial Group, LLC CRD: 293160 | - | 0 | 6 | - | Unknown |
| Expand Financial, LLC CRD: 152515 | - | 0 | 2 | - | Unknown |
| Expanding Capital CRD: 312564 | - | 0 | 1 | - | Unknown |
| Expansion Capital Securities CRD: 24121 | - | 0 | 0 | A | INACTIVE |
| Expansion LLC CRD: 332871 | - | 0 | 2 | - | Unknown |
| Expansive Ventures Management LLC CRD: 174886 | - | 0 | 0 | - | Unknown |
| Expat Financial Solutions CRD: 170747 | - | 0 | 1 | - | Unknown |
| Expatriate Financial Strategies LLC CRD: 334264 | - | 0 | 0 | - | Unknown |
| Expect Equity LLC CRD: 324496 | - | 0 | 1 | - | Unknown |
| Expected Value Management LLC CRD: 308043 | - | 0 | 2 | - | Unknown |
| Expedition Advisors, LLC CRD: 281560 | - | 0 | 0 | - | Unknown |
| Expedition Growth Capital Ltd CRD: 325510 | - | 0 | 0 | - | Unknown |
| Experience Your Wealth, LLC CRD: 305991 | - | 0 | 3 | - | Unknown |