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 |
|---|---|---|---|---|---|
| Alden Investment Company, Inc. CRD: 7224 | - | 0 | 0 | A | INACTIVE |
| Alden Investment Group CRD: 317077 | - | 0 | 36 | - | Unknown |
| Alder Capital, LLC CRD: 163555 | - | 0 | 0 | - | Unknown |
| Alder Cove Capital, LLC CRD: 170147 | - | 0 | 2 | - | Unknown |
| Alder Creek Capital, LLC CRD: 113819 | - | 0 | 0 | A | INACTIVE |
| Alder Financial Group Inc CRD: 108837 | - | 0 | 2 | - | Unknown |
| Alder Hill Management LP CRD: 171138 | - | 0 | 0 | - | Unknown |
| Alder Partners Group, LLC CRD: 277153 | - | 0 | 0 | - | Unknown |
| Alder Securities LLC CRD: 326041 | CT | 0 | 2 | A | Active |
| Alder Strategic Opportunities Advisory I AB CRD: 342359 | - | 0 | 0 | - | Unknown |
| Alder Vale CRD: 340953 | - | 0 | 1 | - | Unknown |
| Alderman & Associates CRD: 156987 | - | 0 | 0 | - | Unknown |
| Alderman & Company Advisors, LLC CRD: 140758 | - | 0 | 0 | - | Unknown |
| Alderman & Company Capital, LLC CRD: 136492 | CT | 0 | 2 | A | Active |
| Alderman Capital Advisors LLC CRD: 169866 | - | 0 | 0 | - | Unknown |
| Alders Financial Solutions CRD: 136025 | - | 0 | 0 | - | Unknown |
| Alders Financial Solutions CRD: 308385 | - | 0 | 1 | - | Unknown |
| Alderwood Capital CRD: 314972 | - | 0 | 0 | - | Unknown |
| Alderwood Capital LLC CRD: 131491 | - | 0 | 0 | A | INACTIVE |
| Aldieri Financial Services LLC CRD: 142858 | - | 0 | 0 | - | Unknown |
| Aldo John BON CRD: 104073 | - | 0 | 0 | A | INACTIVE |
| Aldrich Securities, Inc. CRD: 13131 | - | 0 | 0 | A | INACTIVE |
| Aldrich Venture Capital, LLC. CRD: 296959 | - | 0 | 0 | - | Unknown |
| Aldrich Wealth LP CRD: 147200 | - | 0 | 9 | - | Unknown |
| Aldridge & Co CRD: 105015 | - | 0 | 0 | - | Unknown |
| Aldwych Securities LLC CRD: 167980 | CT | 4 | 2 | B | Active |
| ALE LLC CRD: 281237 | - | 0 | 1 | - | Unknown |
| Alegre Wealth Management, LLC CRD: 338713 | - | 0 | 1 | - | Unknown |
| Alegria Asset Management CRD: 117125 | - | 0 | 4 | - | Unknown |
| Alegria Energy, LLC CRD: 281531 | - | 0 | 0 | - | Unknown |
| Alembic Global Advisors, LLC CRD: 154260 | - | 0 | 0 | - | Unknown |
| Alena Wealth, LLC CRD: 145852 | - | 0 | 0 | - | Unknown |
| Aleph CRD: 168654 | - | 0 | 0 | - | Unknown |
| Aleph Investments, LLC CRD: 155404 | - | 0 | 1 | - | Unknown |
| Alera Investment Advisors, LLC CRD: 287906 | - | 0 | 59 | - | Unknown |
| Alera Management Partners CRD: 341220 | - | 0 | 0 | - | Unknown |
| Alera Partners LP CRD: 309508 | - | 0 | 0 | - | Unknown |
| Alera Retirement Advisors, LLC CRD: 155738 | - | 0 | 0 | - | Unknown |
| Alera Securities LLC CRD: 335132 | IL | 0 | 2 | A | Active |
| Alere Planning LLC CRD: 286121 | - | 0 | 3 | - | Unknown |
| Alerion Partners, LLC CRD: 161669 | - | 0 | 1 | - | Unknown |
| Alero Capital Corp. CRD: 116785 | - | 0 | 0 | A | INACTIVE |
| Alero Capital Corp. CRD: 131046 | - | 0 | 0 | A | INACTIVE |
| Alert Equity Corporation CRD: 22472 | - | 0 | 0 | A | INACTIVE |
| Ales29 Advisors, Inc CRD: 297670 | - | 0 | 1 | - | Unknown |
| Alesco Advisors LLC CRD: 108590 | - | 0 | 0 | - | Unknown |
| Alesia Asset Management LLC CRD: 169054 | - | 0 | 1 | - | Unknown |
| Alessandra Capital Management, LLC CRD: 123305 | - | 0 | 1 | - | Unknown |
| Aletheia Analyst Network Limited CRD: 172882 | - | 0 | 2 | - | Unknown |
| Aletheia Research and Management Inc CRD: 107877 | - | 0 | 0 | - | Unknown |