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 |
|---|---|---|---|---|---|
| Faison Capital LLC CRD: 112268 | - | 0 | 1 | - | Unknown |
| Faith Based Investing CRD: 308510 | - | 0 | 0 | - | Unknown |
| Faith Financial Advisors, Inc. CRD: 167822 | - | 0 | 1 | - | Unknown |
| Faith Investor Services CRD: 313337 | - | 0 | 6 | - | Unknown |
| Faith-Based Investor, LLC CRD: 154734 | - | 0 | 0 | - | Unknown |
| Faithful Financial LLC CRD: 305653 | - | 0 | 1 | - | Unknown |
| Faithstone Securities, LLC CRD: 331846 | NV | 0 | 2 | A | Active |
| Faithward Advisors, LLC CRD: 116978 | - | 0 | 11 | - | Unknown |
| Faithward Capital CRD: 305092 | - | 0 | 1 | - | Unknown |
| Faitos & Company, Inc. CRD: 20417 | - | 0 | 0 | A | INACTIVE |
| Falcata Capital LLC CRD: 291640 | - | 0 | 0 | - | Unknown |
| Falco Wealth Management CRD: 327977 | - | 0 | 1 | - | Unknown |
| Falcon Bridge Capital CRD: 156661 | - | 0 | 1 | - | Unknown |
| Falcon Capital Markets, LLC CRD: 112785 | - | 0 | 0 | A | INACTIVE |
| Falcon E & P Opportunities GP, LLC CRD: 161514 | - | 0 | 0 | - | Unknown |
| Falcon Financial CRD: 160615 | - | 0 | 1 | - | Unknown |
| Falcon Financial Group, Inc. CRD: 14245 | - | 0 | 0 | A | INACTIVE |
| Falcon Financial Management, Inc. CRD: 124715 | - | 0 | 0 | - | Unknown |
| Falcon Financial of Oklahoma, LLC CRD: 144612 | - | 0 | 0 | - | Unknown |
| Falcon House Capital Management Ltd CRD: 172529 | - | 0 | 0 | - | Unknown |
| Falcon House Capital Management PTE. Ltd. CRD: 296876 | - | 0 | 0 | - | Unknown |
| Falcon Investment Advisors, LLC CRD: 161548 | - | 0 | 1 | - | Unknown |
| Falcon Investment Corp. CRD: 42231 | - | 0 | 0 | A | INACTIVE |
| Falcon ONE, Inc. CRD: 171951 | - | 0 | 0 | - | Unknown |
| Falcon Point Capital, LLC CRD: 122459 | - | 0 | 0 | - | Unknown |
| Falcon Research, Inc. CRD: 13115 | - | 7 | 0 | D | INACTIVE |
| Falcon Royal Investment Management CRD: 174046 | - | 0 | 1 | - | Unknown |
| Falcon Securities, Inc. CRD: 15108 | - | 0 | 0 | A | INACTIVE |
| Falcon Securities, LLC CRD: 125474 | - | 0 | 0 | A | INACTIVE |
| Falcon Square Capital, LLC CRD: 165225 | NC | 0 | 3 | A | Active |
| Falcon Trading Group, Ltd. CRD: 30361 | - | 0 | 0 | A | INACTIVE |
| Falcon Venture Capital Management, LLC CRD: 311824 | - | 0 | 0 | - | Unknown |
| Falcon Wealth Managers CRD: 298692 | - | 0 | 1 | - | Unknown |
| Falcon Wealth Planning, Inc. CRD: 174092 | - | 0 | 11 | - | Unknown |
| Falcon XC Enterprise LLC CRD: 329127 | - | 0 | 1 | - | Unknown |
| Falcone Investments LLC CRD: 325587 | - | 0 | 2 | - | Unknown |
| Falconer Group CRD: 124166 | - | 0 | 1 | - | Unknown |
| Falconhead Capital, LLC CRD: 157386 | - | 0 | 0 | - | Unknown |
| Falconpath Advisors CRD: 297778 | - | 0 | 0 | - | Unknown |
| Falcons I, LLC CRD: 294460 | - | 0 | 1 | - | Unknown |
| Falcons Rock Impact Investments, LLC CRD: 285692 | - | 0 | 0 | - | Unknown |
| Falcons Rock Investment Counsel, LLC CRD: 128729 | - | 0 | 0 | - | Unknown |
| Falconview Securities, LLC CRD: 151700 | - | 0 | 0 | A | INACTIVE |
| Falfurrias Management Partners LP CRD: 163076 | - | 0 | 1 | - | Unknown |
| Falick & Phipps Investments CRD: 14160 | - | 0 | 0 | A | INACTIVE |
| Falken Asset Management LLC CRD: 297389 | - | 0 | 0 | - | Unknown |
| Falkenberg Capital Corporation CRD: 103819 | - | 0 | 0 | A | INACTIVE |
| Falker Investments Inc. CRD: 115132 | - | 0 | 4 | - | Unknown |
| Falko Raof GP II Limited CRD: 300598 | - | 0 | 0 | - | Unknown |
| Falko Raof GP Limited CRD: 282088 | - | 0 | 0 | - | Unknown |