Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| 468 MANAGEMENT GMBH CRD: 310214 | — | 0 | 0 | A | Unknown |
| 49 FINANCIAL CRD: 319484 | — | 0 | 0 | A | Unknown |
| 49 PALMS VENTURES CRD: 339401 | — | 0 | 0 | A | Unknown |
| 4:8 FINANCIAL CRD: 335831 | — | 0 | 0 | A | Unknown |
| 4BIO PARTNERS LLP CRD: 314372 | — | 0 | 0 | A | Unknown |
| 4DX VENTURES CRD: 308978 | — | 0 | 0 | A | Unknown |
| 4FI MANAGEMENT GMBH CRD: 325018 | — | 0 | 0 | A | Unknown |
| 4G FINANCIAL, INC. CRD: 15904 | — | 0 | 0 | A | INACTIVE |
| 4LB INVESTMENTS, LLC CRD: 121244 | — | 0 | 0 | A | Unknown |
| 4M CAPITAL MANAGEMENT CRD: 284640 | — | 0 | 0 | A | Unknown |
| 4S FUND MANAGEMENT LLC CRD: 324505 | — | 0 | 0 | A | Unknown |
| 4X4 CAPITAL CRD: 316647 | — | 0 | 0 | A | Unknown |
| 5 ARCH ASSET MANAGEMENT, LLC CRD: 170045 | — | 0 | 0 | A | Unknown |
| 5 POINTS WEALTH CRD: 316183 | — | 0 | 0 | A | Unknown |
| 5 STAR INVESTING CRD: 155479 | — | 0 | 0 | A | Unknown |
| 500 GLOBAL CRD: 161526 | — | 0 | 0 | A | Unknown |
| 501 NORTH, LLC CRD: 338118 | — | 0 | 0 | A | Unknown |
| 503 PARTNERS, LLC CRD: 283349 | — | 0 | 0 | A | Unknown |
| 50T FUNDS CRD: 326720 | — | 0 | 0 | A | Unknown |
| 50T FUNDS CRD: 313081 | — | 0 | 0 | A | Unknown |
| 52 CAPITAL LLC CRD: 307036 | — | 0 | 0 | A | Unknown |
| 521 CAPITAL GROUP, LLC CRD: 338638 | — | 0 | 0 | A | Unknown |
| 5280 CAPITAL CRD: 167460 | — | 0 | 0 | A | Unknown |
| 52TEN LLC CRD: 330071 | — | 0 | 0 | A | Unknown |
| 537 SECURITIES, INC. CRD: 137593 | — | 0 | 0 | A | INACTIVE |
| 545 INVESTMENTS CRD: 310799 | — | 0 | 0 | A | Unknown |
| 55 RIDGEWOOD LLC CRD: 316154 | — | 0 | 0 | A | Unknown |
| 55 WEALTH CRD: 340170 | — | 0 | 0 | A | Unknown |
| 56 MANAGEMENT LLC CRD: 315198 | — | 0 | 0 | A | Unknown |
| 57 STARS LLC CRD: 135202 | — | 0 | 0 | A | Unknown |
| 584 NORTH LLC CRD: 339372 | — | 0 | 0 | A | Unknown |
| 599 HOLDINGS LLC CRD: 337230 | — | 0 | 0 | A | Unknown |
| 5AM VENTURES CRD: 160395 | — | 0 | 0 | A | Unknown |
| 5D PARTNERS LLC CRD: 308304 | NY | 0 | 1 | A | Active |
| 5T WEALTH, LLC CRD: 112552 | — | 0 | 0 | A | Unknown |
| 5TH CENTURY PARTNERS CRD: 313522 | — | 0 | 0 | A | Unknown |
| 5THN FINANCIAL LLC CRD: 286020 | — | 0 | 0 | A | Unknown |
| 626 FINANCIAL, LLC CRD: 306474 | — | 0 | 0 | A | Unknown |
| 68 KING WILLIAM STREET, LONDON, UNITED KINGDOM, EC… CRD: 293173 | — | 0 | 0 | A | Unknown |
| 6800 CAPITAL, L.L.C. CRD: 136838 | — | 0 | 0 | A | Unknown |
| 6ELM CAPITAL CRD: 300138 | — | 0 | 0 | A | Unknown |
| 6|21 PRIVATE WEALTH CRD: 335433 | — | 0 | 0 | A | Unknown |
| 7 NORTH FINANCE CRD: 269956 | — | 0 | 0 | A | Unknown |
| 7-13 CAPITAL LLC CRD: 169016 | — | 0 | 0 | A | Unknown |
| 724 CAPITAL, LLC CRD: 318170 | — | 0 | 0 | A | Unknown |
| 747 CAPITAL, LLC CRD: 164742 | — | 0 | 0 | A | Unknown |
| 77 FINANCIAL GROUP CRD: 312367 | — | 0 | 0 | A | Unknown |
| 776 MANAGEMENT, LLC CRD: 311918 | — | 0 | 0 | A | Unknown |
| 777 SECURITIES CRD: 288294 | NY | 0 | 1 | A | Active |
| 79 FINANCIAL CRD: 316208 | — | 0 | 0 | A | Unknown |