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 |
|---|---|---|---|---|---|
| 1ST & 3RD Investments LLC CRD: 337417 | - | 0 | 1 | - | Unknown |
| 1ST & Main Growth Partners CRD: 106305 | - | 0 | 1 | - | Unknown |
| 1ST Advantage Financial Advisers, LLC CRD: 142089 | - | 0 | 1 | - | Unknown |
| 1ST American Southern Securities, Inc. CRD: 16904 | - | 0 | 0 | A | INACTIVE |
| 1ST BCCW Capital Corp CRD: 34380 | - | 1 | 0 | B | INACTIVE |
| 1ST Bridgehouse Securities, LLC CRD: 44655 | - | 5 | 0 | C | INACTIVE |
| 1ST Capital Assets Group, Inc. CRD: 15037 | - | 0 | 0 | A | INACTIVE |
| 1ST Course Capital Management, LLC CRD: 304168 | - | 0 | 1 | - | Unknown |
| 1ST Discount Brokerage, Inc. CRD: 39164 | FL | 10 | 10 | B | Active |
| 1ST Financial Investment, Inc. CRD: 283072 | - | 0 | 6 | - | Unknown |
| 1ST Financial LLC CRD: 159015 | - | 0 | 1 | - | Unknown |
| 1ST Financial Planning Group, Inc. CRD: 281543 | - | 0 | 1 | - | Unknown |
| 1ST Freedom Securities, LLC CRD: 104202 | - | 0 | 0 | A | INACTIVE |
| 1ST Global Advisors Inc CRD: 111133 | - | 0 | 0 | - | Unknown |
| 1ST Global Capital Corp. CRD: 30349 | - | 4 | 0 | C | INACTIVE |
| 1ST Global Ventures, Inc. CRD: 104280 | - | 0 | 0 | A | INACTIVE |
| 1ST Munich Capital, LLC CRD: 121417 | - | 0 | 0 | A | INACTIVE |
| 1ST Nat'l Financial Planning Corp. CRD: 121002 | - | 0 | 0 | - | Unknown |
| 1ST Portfolio Wealth Advisors CRD: 269855 | - | 0 | 0 | - | Unknown |
| 1ST Securities Management, Inc CRD: 135757 | - | 0 | 1 | - | Unknown |
| 1ST Securities of America CRD: 16110 | - | 0 | 0 | A | INACTIVE |
| 1ST Source Corporation Investment Advisors, Inc. CRD: 111331 | - | 0 | 0 | - | Unknown |
| 1ST Worldwide Financial Partners, LLC CRD: 132038 | - | 0 | 0 | A | INACTIVE |
| 1Stto50TH LLC CRD: 328769 | - | 0 | 1 | - | Unknown |
| 1Taxfinancial CRD: 175364 | - | 0 | 3 | - | Unknown |
| 1UP Financial Advisors LLC CRD: 319193 | - | 0 | 1 | - | Unknown |
| 1UP Services CRD: 307254 | - | 0 | 1 | - | Unknown |
| 1WS Capital Advisors, LLC CRD: 298723 | - | 0 | 1 | - | Unknown |
| 2 Knights Wealth Management, LLC CRD: 307238 | - | 0 | 1 | - | Unknown |
| 2.0 Ventures Adviser LLC CRD: 337324 | - | 0 | 0 | - | Unknown |
| 20 Gates Management LLC CRD: 155480 | - | 0 | 1 | - | Unknown |
| 20/20 Capital Management, Inc CRD: 281692 | - | 0 | 0 | - | Unknown |
| 201 Ventures Management LLC CRD: 341854 | - | 0 | 0 | - | Unknown |
| 2020 Capital Advisors, LLC CRD: 307260 | - | 0 | 0 | - | Unknown |
| 2020 Financial Planning LLC CRD: 153979 | - | 0 | 1 | - | Unknown |
| 2020 Ventures LLC CRD: 173086 | - | 0 | 0 | - | Unknown |
| 2020 Ventures Management, LP CRD: 307460 | - | 0 | 1 | - | Unknown |
| 2020HL, LLC CRD: 322016 | - | 0 | 1 | - | Unknown |
| 2021 Capital CRD: 314855 | IL | 0 | 2 | A | Active |
| 2045 Capital CRD: 322559 | - | 0 | 1 | - | Unknown |
| 2048 Ventures, LLC CRD: 305237 | - | 0 | 1 | - | Unknown |
| 2050 Wealth Partners LLC CRD: 306584 | - | 0 | 0 | - | Unknown |
| 2088 Advisory, LP CRD: 289933 | - | 0 | 0 | - | Unknown |
| 2088 LLC, Series Alpha CRD: 338337 | - | 0 | 1 | - | Unknown |
| 21 Capital Group, Inc. CRD: 128647 | - | 1 | 0 | B | INACTIVE |
| 21 West Wealth Management LLC CRD: 304532 | - | 0 | 2 | - | Unknown |
| 210 Capital, LLC CRD: 293155 | - | 0 | 1 | - | Unknown |
| 210 Financial CRD: 328570 | - | 0 | 2 | - | Unknown |
| 212 Advisory Group, LLC CRD: 154995 | - | 0 | 0 | - | Unknown |
| 212 Capital Management, Ltd CRD: 170766 | - | 0 | 0 | - | Unknown |