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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Financial Management Group,Inc.
CRD: 14662
 - 0 0 A INACTIVE
Financial Management Network Inc
CRD: 110454
 - 0 4 - Unknown
Financial Management Services
CRD: 114937
 - 0 0 - Unknown
Financial Management Services, LLC
CRD: 43877
 - 1 0 B INACTIVE
Financial Management, Inc.
CRD: 117578
 - 0 0 - Unknown
Financial Management, Inc.
CRD: 108350
 - 0 3 - Unknown
Financial Markets of IBG (USA) LLC
CRD: 144216
 - 0 0 A INACTIVE
Financial Mastery Group, LLC
CRD: 173313
 - 0 0 - Unknown
Financial Matters
CRD: 113043
 - 0 0 - Unknown
Financial Mountain Inc
CRD: 108489
 - 0 1 - Unknown
Financial Navigators Inc.
CRD: 134873
 - 0 0 - Unknown
Financial Network Specialists LLC
CRD: 109037
 - 0 1 - Unknown
Financial Network Wealth Advisors LLC
CRD: 318842
 - 0 6 - Unknown
Financial Northeastern Securities, LLC
CRD: 17007
 NJ 4 12 B Active
Financial ONE, Inc.
CRD: 168061
 - 0 1 - Unknown
Financial Optimist LLC
CRD: 311640
 - 0 1 - Unknown
Financial Paradigms, Inc.
CRD: 125864
 - 0 0 A INACTIVE
Financial Partners Group, Inc.
CRD: 288644
 - 0 2 - Unknown
Financial Partners Group, LLC
CRD: 165856
 - 0 0 - Unknown
Financial Partners, Inc.
CRD: 150863
 - 0 0 - Unknown
Financial Partners, Inc.
CRD: 331728
 - 0 2 - Unknown
Financial Partners, LLC
CRD: 170002
 - 0 2 - Unknown
Financial Pathways
CRD: 134112
 - 0 0 - Unknown
Financial Pathways
CRD: 159202
 - 0 0 - Unknown
Financial Pathways
CRD: 133906
 - 0 0 - Unknown
Financial Peak
CRD: 318061
 - 0 1 - Unknown
Financial Perspectives
CRD: 111240
 - 0 0 - Unknown
Financial Perspectives
CRD: 135549
 - 0 2 - Unknown
Financial Placement International, Inc.
CRD: 14316
 - 0 0 A INACTIVE
Financial Plan Design
CRD: 318539
 - 0 0 - Unknown
Financial Plan GUY
CRD: 307870
 - 0 0 - Unknown
Financial Plan, Inc.
CRD: 116073
 - 0 1 - Unknown
Financial Planners Brokerage, Inc.
CRD: 15265
 - 0 0 A INACTIVE
Financial Planners Equity Corporation
CRD: 7420
 - 0 0 A INACTIVE
Financial Planners Northwest, Inc.
CRD: 135563
 - 0 0 - Unknown
Financial Planners of the Palm Beaches Securities,…
CRD: 10059
 - 0 0 A INACTIVE
Financial Planning
CRD: 112450
 - 0 0 - Unknown
Financial Planning & Consulting Services, Inc
CRD: 112440
 - 0 0 - Unknown
Financial Planning Advisory Corp
CRD: 117448
 - 0 0 - Unknown
Financial Planning and Information Services, Inc.
CRD: 113110
 - 0 0 - Unknown
Financial Planning Associates
CRD: 317454
 - 0 2 - Unknown
Financial Planning by Design
CRD: 328691
 - 0 1 - Unknown
Financial Planning Center
CRD: 148660
 - 0 1 - Unknown
Financial Planning Center
CRD: 167957
 - 0 1 - Unknown
Financial Planning Clinic Securities Corp.
CRD: 8524
 - 0 0 A INACTIVE
Financial Planning Co., Inc.
CRD: 1828
 - 0 0 A INACTIVE
Financial Planning Concepts of America, Inc.
CRD: 126411
 - 0 0 - Unknown
Financial Planning Dept., Inc.
CRD: 122403
 - 0 0 - Unknown
Financial Planning First, LLC
CRD: 319273
 - 0 2 - Unknown
Financial Planning for Generations, Inc.
CRD: 130582
 - 0 1 - Unknown
Page 521 of 1601 (80,028 total)
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