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 |
|---|---|---|---|---|---|
| BACK BAY ADVISORS, LLC CRD: 319026 | — | 0 | 0 | A | Unknown |
| BACK BAY CAPITAL, INC. CRD: 22824 | — | 4 | 0 | F | INACTIVE |
| BACK BAY FINANCIAL PLANNING & INVESTMENTS CRD: 335236 | — | 0 | 0 | A | Unknown |
| BACK BAY LIFE SCIENCE ADVISORY, LLC CRD: 158846 | MA | 0 | 1 | A | Active |
| BACK BEACH PARTNERS, LLC CRD: 332161 | — | 0 | 0 | A | Unknown |
| BACKBONE PLANNING PARTNERS LLC CRD: 326699 | — | 0 | 0 | A | Unknown |
| BACKEND BENCHMARKING CRD: 288501 | — | 0 | 0 | A | Unknown |
| BACKER CRD: 281813 | — | 0 | 0 | A | Unknown |
| BACKSTROM MCCARLEY BERRY & CO., LLC CRD: 124503 | CA | 0 | 1 | A | Active |
| BACON & COMPANY CRD: 114022 | — | 0 | 0 | A | Unknown |
| BADR INVESTMENTS TX, LLC CRD: 290194 | — | 0 | 0 | A | Unknown |
| BAER INVESTMENT ADVISORY LLC CRD: 152063 | — | 0 | 0 | A | Unknown |
| BAER STEVEN RAY CRD: 33292 | — | 0 | 0 | A | INACTIVE |
| BAF ADVISORS CORP CRD: 323286 | — | 0 | 0 | A | Unknown |
| BAG SECURITIES, L.L.C. CRD: 157420 | — | 0 | 0 | A | Unknown |
| BAG VENTURES, LLC CRD: 333079 | — | 0 | 0 | A | Unknown |
| BAHL & GAYNOR INC CRD: 106139 | — | 0 | 0 | A | Unknown |
| BAI CAPITAL CRD: 312869 | — | 0 | 0 | A | Unknown |
| BAILARD, INC. CRD: 110550 | — | 0 | 0 | A | Unknown |
| BAILEY, JOE CRD: 306897 | — | 0 | 0 | A | Unknown |
| BAIN CAPITAL CREDIT CLO ADVISORS, LP CRD: 285892 | — | 0 | 0 | A | Unknown |
| BAIN CAPITAL PRIVATE EQUITY (EUROPE), LLP CRD: 167487 | — | 0 | 0 | A | Unknown |
| BAINS, TONYA R CRD: 331854 | — | 0 | 0 | A | Unknown |
| BAIS ENTERPRISE CRD: 172472 | — | 0 | 0 | A | Unknown |
| BAKER & YOEST INVESTMENT ADVISERS, INC. CRD: 149115 | — | 0 | 0 | A | Unknown |
| BAKER BROTHERS INVESTMENTS CRD: 158149 | — | 0 | 0 | A | Unknown |
| BAKER CAPITAL CORP. CRD: 161634 | — | 0 | 0 | A | Unknown |
| BAKER GALLO CRD: 337609 | — | 0 | 0 | A | Unknown |
| BAKER KEVIN K CRD: 32606 | — | 0 | 0 | A | INACTIVE |
| BAKERAVENUE CRD: 132657 | — | 0 | 0 | A | Unknown |
| BAKKT BROKERAGE, LLC CRD: 288227 | — | 1 | 0 | F | INACTIVE |
| BALA CAPITAL GROUP, LLC CRD: 290347 | — | 0 | 0 | A | Unknown |
| BALAJ, SIMON CRD: 322934 | — | 0 | 0 | A | Unknown |
| BALANCE CAPITAL PARTNERS L.P. CRD: 325617 | — | 0 | 0 | A | Unknown |
| BALANCE INVESTMENTS CRD: 173163 | — | 0 | 0 | A | Unknown |
| BALANCE SHEET SOLUTIONS LLC CRD: 124786 | — | 1 | 0 | F | INACTIVE |
| BALANCE WEALTH CRD: 329589 | — | 0 | 0 | A | Unknown |
| BALANCED WEALTH, INC. CRD: 324140 | — | 0 | 0 | A | Unknown |
| BALANCED WEALTH, LLC CRD: 318459 | — | 0 | 0 | A | Unknown |
| BALANSTONE, LLC CRD: 242796 | — | 0 | 0 | A | Unknown |
| BALANZ CRD: 322263 | — | 0 | 0 | A | Unknown |
| BALANZ CAPITAL USA LLC CRD: 325914 | FL | 0 | 1 | A | Active |
| BALBOA WEALTH PARTNERS, INC. CRD: 282329 | — | 0 | 0 | A | Unknown |
| BALCH HILL CAPITAL CRD: 113209 | — | 0 | 0 | A | Unknown |
| BALCONY PARTNERS, LLC CRD: 157426 | — | 0 | 0 | A | Unknown |
| BALEFIRE, LLC CRD: 168733 | — | 0 | 0 | A | Unknown |
| BALENTINE CRD: 152511 | — | 0 | 0 | A | Unknown |
| BALFOUR INVESTORS INC. CRD: 7382 | — | 5 | 0 | F | INACTIVE |
| BALIGIAN SECURITIES CRD: 16433 | — | 0 | 0 | A | INACTIVE |
| BALIS & ZORN INC. CRD: 7711 | — | 0 | 0 | A | INACTIVE |