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 |
|---|---|---|---|---|---|
| Financial Advisory Clinic Investments, Inc. CRD: 5990 | - | 0 | 0 | A | INACTIVE |
| Financial Advisory Group, Inc. CRD: 292264 | - | 0 | 0 | - | Unknown |
| Financial Advisory Group, Inc. CRD: 337686 | - | 0 | 1 | - | Unknown |
| Financial Advisory Network CRD: 119987 | - | 0 | 1 | - | Unknown |
| Financial Advisory Network, Ltd CRD: 121106 | - | 0 | 0 | - | Unknown |
| Financial Advisory Services CRD: 289369 | - | 0 | 2 | - | Unknown |
| Financial Advisory Services CRD: 118496 | - | 0 | 1 | - | Unknown |
| Financial Advisory Services CRD: 132106 | - | 0 | 1 | - | Unknown |
| Financial Advisory Services, LLC CRD: 122053 | - | 0 | 3 | - | Unknown |
| Financial Advocates Advisory Services CRD: 147786 | - | 0 | 0 | - | Unknown |
| Financial Advocates Investment Management CRD: 151298 | - | 0 | 0 | - | Unknown |
| Financial Advocates LLC CRD: 130793 | - | 0 | 0 | - | Unknown |
| Financial Advocates Securities, LLC CRD: 285175 | - | 0 | 0 | A | INACTIVE |
| Financial Affairs Advisory, Inc. CRD: 112121 | - | 0 | 0 | - | Unknown |
| Financial Affairs LLC CRD: 166346 | - | 0 | 0 | - | Unknown |
| Financial Alternatives, Inc. CRD: 108245 | - | 0 | 7 | - | Unknown |
| Financial Analytics, LLC CRD: 287749 | - | 0 | 1 | - | Unknown |
| Financial Answers, LLC CRD: 165147 | - | 0 | 2 | - | Unknown |
| Financial Architects Securities Corporation CRD: 13269 | - | 0 | 0 | A | INACTIVE |
| Financial Architects, Inc CRD: 145549 | - | 0 | 0 | - | Unknown |
| Financial Architects, LLC CRD: 116027 | - | 0 | 1 | - | Unknown |
| Financial Asset Group, Inc. CRD: 23298 | - | 0 | 0 | A | INACTIVE |
| Financial Asset Management, Inc. CRD: 18514 | - | 8 | 0 | D | INACTIVE |
| Financial Assets, Inc. CRD: 126350 | - | 0 | 0 | - | Unknown |
| Financial Associates CRD: 115567 | - | 0 | 0 | - | Unknown |
| Financial Attitudes, Inc. CRD: 18160 | - | 0 | 0 | A | INACTIVE |
| Financial Aurora, LLC. CRD: 260786 | - | 0 | 1 | - | Unknown |
| Financial Avengers, Inc. CRD: 119636 | - | 0 | 2 | - | Unknown |
| Financial Avenues CRD: 153458 | - | 0 | 2 | - | Unknown |
| Financial Benefit Services Corporation CRD: 118379 | - | 0 | 0 | - | Unknown |
| Financial Benefits, Inc CRD: 114407 | - | 0 | 2 | - | Unknown |
| Financial Boss CRD: 319060 | - | 0 | 1 | - | Unknown |
| Financial Bridges CRD: 135591 | - | 0 | 2 | - | Unknown |
| Financial Cairn LLC CRD: 304130 | - | 0 | 0 | - | Unknown |
| Financial Capital Investment Services, Inc. CRD: 15048 | - | 0 | 0 | A | INACTIVE |
| Financial Capital of America Investment Company, I… CRD: 16039 | - | 0 | 0 | A | INACTIVE |
| Financial Clarity LLC CRD: 171555 | - | 0 | 0 | - | Unknown |
| Financial Clarity Partners, LLC CRD: 178528 | - | 0 | 0 | - | Unknown |
| Financial Clarity, Inc. CRD: 106010 | - | 0 | 0 | - | Unknown |
| Financial Clearing & Services Corporation CRD: 6633 | - | 0 | 0 | A | INACTIVE |
| Financial Client CRD: 319291 | - | 0 | 2 | - | Unknown |
| Financial Coach CRD: 170478 | - | 0 | 1 | - | Unknown |
| Financial Coach, LLC CRD: 146810 | - | 0 | 0 | - | Unknown |
| Financial Compass Corporation CRD: 134754 | - | 0 | 1 | - | Unknown |
| Financial Compass Investment Services, Inc CRD: 147260 | - | 0 | 1 | - | Unknown |
| Financial Compass LLC CRD: 148773 | - | 0 | 2 | - | Unknown |
| Financial Compensation Consultants, Inc. CRD: 13884 | - | 0 | 0 | A | INACTIVE |
| Financial Concepts CRD: 157616 | - | 0 | 1 | - | Unknown |
| Financial Concepts of N.C. Inc. CRD: 125883 | - | 0 | 0 | - | Unknown |
| Financial Concepts Unlimited, Inc. CRD: 136880 | - | 0 | 1 | - | Unknown |