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 |
|---|---|---|---|---|---|
| Experiential Wealth, Inc. CRD: 116983 | - | 0 | 0 | - | Unknown |
| Expert Financial Services, LLC CRD: 121584 | - | 0 | 2 | - | Unknown |
| Expgrow LLC CRD: 290154 | - | 0 | 0 | - | Unknown |
| Explora Investments CRD: 159366 | - | 0 | 0 | - | Unknown |
| Explora S.A. CRD: 169476 | - | 0 | 0 | - | Unknown |
| Explorador Capital Management, LLC CRD: 139762 | - | 0 | 0 | - | Unknown |
| Explore Capital Management, LLC CRD: 324458 | - | 0 | 1 | - | Unknown |
| Explorer 1 Management Company LLC CRD: 313646 | - | 0 | 1 | - | Unknown |
| Explorer Capital Distributors, LLC CRD: 104016 | - | 0 | 0 | A | INACTIVE |
| Explorer Equity Group, LLC CRD: 289752 | - | 0 | 1 | - | Unknown |
| Exponent Founders Management, LLC CRD: 322180 | - | 0 | 1 | - | Unknown |
| Exponent Management LLC CRD: 339715 | - | 0 | 1 | - | Unknown |
| Exponent Private Equity LLP CRD: 160069 | - | 0 | 0 | - | Unknown |
| Exponent Wealth LLC CRD: 334968 | - | 0 | 6 | - | Unknown |
| Exponential Advisors LLC CRD: 333416 | - | 0 | 1 | - | Unknown |
| Exponential Etfs CRD: 161626 | - | 0 | 0 | - | Unknown |
| Exponential Investment Management LLC CRD: 309496 | - | 0 | 0 | - | Unknown |
| Exponential Investment Partners LLC CRD: 296884 | - | 0 | 0 | - | Unknown |
| Exponential Investments Co., Ltd. CRD: 340271 | - | 0 | 0 | - | Unknown |
| Exponential Technologies Frontiers Fund Management… CRD: 312471 | - | 0 | 1 | - | Unknown |
| Exponential Wealth Management, LLC CRD: 328835 | - | 0 | 1 | - | Unknown |
| Exponential Zaisan Partners, LLC CRD: 324159 | - | 0 | 0 | - | Unknown |
| Express Securities, Incorporated CRD: 27339 | - | 0 | 0 | A | INACTIVE |
| Expressive Wealth LLC CRD: 329974 | - | 0 | 5 | - | Unknown |
| Exsys Securities Corporation CRD: 17343 | - | 0 | 0 | A | INACTIVE |
| EXT Electronic Exchange Trading, Inc. CRD: 47385 | - | 2 | 0 | B | INACTIVE |
| Extant Capital LLC CRD: 337508 | - | 0 | 1 | - | Unknown |
| Extract Advisors CRD: 285535 | - | 0 | 1 | - | Unknown |
| Extraordinary Investors, Ltd CRD: 134557 | - | 0 | 0 | - | Unknown |
| Extraordinary Kale LLC CRD: 340610 | - | 0 | 1 | - | Unknown |
| Extremum, LLC CRD: 312945 | - | 0 | 0 | - | Unknown |
| Exult CRD: 146746 | - | 0 | 0 | - | Unknown |
| Exvere Securities LLC CRD: 166353 | - | 0 | 0 | A | INACTIVE |
| Exvere Securities LLC CRD: 142803 | - | 0 | 0 | A | INACTIVE |
| Exworks Capital, LLC CRD: 173913 | - | 0 | 0 | - | Unknown |
| Exworth Management LLC CRD: 318352 | - | 0 | 0 | - | Unknown |
| EY-Parthenon BD Inc. CRD: 126914 | - | 0 | 0 | A | Active |
| Eyck Capital Management LLP CRD: 167399 | - | 0 | 0 | - | Unknown |
| Eyre Street Capital CRD: 333970 | - | 0 | 1 | - | Unknown |
| Eystra Capital CRD: 309903 | - | 0 | 1 | - | Unknown |
| EZ Financial Group Inc. CRD: 143813 | - | 0 | 1 | - | Unknown |
| EZ Stocks, Inc. CRD: 103866 | - | 6 | 0 | D | INACTIVE |
| Ezana Capital Advisers, LLC CRD: 299451 | - | 0 | 1 | - | Unknown |
| Ezcontact Holdings, LLC CRD: 297950 | - | 0 | 1 | - | Unknown |
| EZE Castle Transaction Services LLC CRD: 132246 | MA | 0 | 2 | A | Active |
| Ezelle 103 Advisors, LLC CRD: 339738 | - | 0 | 1 | - | Unknown |
| Ezer Capital Management LLC CRD: 157008 | - | 0 | 0 | - | Unknown |
| F & F Fund Manager, LLC CRD: 162592 | - | 0 | 0 | - | Unknown |
| F & G Securities, Inc. CRD: 16364 | - | 0 | 0 | A | INACTIVE |
| F & M Capital Corporation CRD: 17740 | - | 0 | 0 | A | INACTIVE |