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 Planning for Real People PLLC
CRD: 326918
 - 0 1 - Unknown
Financial Planning Group Inc. (the)
CRD: 129894
 - 0 1 - Unknown
Financial Planning Hawaii, Inc.
CRD: 153930
 - 0 3 - Unknown
Financial Planning HQ, LLC
CRD: 320613
 - 0 1 - Unknown
Financial Planning Northwest
CRD: 324177
 - 0 1 - Unknown
Financial Planning Office of Stephen Overstreet, P…
CRD: 141636
 - 0 1 - Unknown
Financial Planning Outsource Services, LLC
CRD: 146938
 - 0 0 - Unknown
Financial Planning Partners
CRD: 126483
 - 0 2 - Unknown
Financial Planning Partners
CRD: 131832
 - 0 2 - Unknown
Financial Planning Partners LLC
CRD: 312773
 - 0 0 - Unknown
Financial Planning Partners, L.L.C.
CRD: 108503
 - 0 0 - Unknown
Financial Planning Professionals, Inc.
CRD: 114593
 - 0 0 - Unknown
Financial Planning Professionals, Inc.
CRD: 125319
 - 0 2 - Unknown
Financial Planning Resources, Inc.
CRD: 106250
 - 0 0 - Unknown
Financial Planning Resources,LLC
CRD: 122779
 - 0 2 - Unknown
Financial Planning Securities Company
CRD: 10055
 - 0 0 A INACTIVE
Financial Planning Services
CRD: 129129
 - 0 3 - Unknown
Financial Planning Services
CRD: 121034
 - 0 1 - Unknown
Financial Planning Strategies, LLC
CRD: 116228
 - 0 0 - Unknown
Financial Planning Strategies, LLC
CRD: 172739
 - 0 0 - Unknown
Financial Planning Training Institute, Inc.
CRD: 27010
 - 0 0 A INACTIVE
Financial Planning Unlimited
CRD: 119649
 - 0 0 - Unknown
Financial Planning Work$, Inc.
CRD: 125778
 - 0 0 - Unknown
Financial Planning, Asset Management
CRD: 306513
 - 0 2 - Unknown
Financial Prescriptions, LLC
CRD: 172388
 - 0 1 - Unknown
Financial Products, LLC
CRD: 153479
 - 0 0 A INACTIVE
Financial Prosperity, Inc.
CRD: 151710
 - 0 2 - Unknown
Financial Q Group LLC
CRD: 327095
 - 0 1 - Unknown
Financial Research Company
CRD: 7163
 - 2 0 B INACTIVE
Financial Research, Inc.
CRD: 116963
 - 0 0 - Unknown
Financial Resource Management, Inc.
CRD: 148305
 - 0 0 - Unknown
Financial Resources Group
CRD: 116897
 - 0 0 - Unknown
Financial Resources Group
CRD: 170701
 - 0 0 - Unknown
Financial Resources Group Investment Services, LLC
CRD: 170845
 - 1 0 B INACTIVE
Financial Resources Group, LLC
CRD: 293380
 - 0 1 - Unknown
Financial Resources Management Corp
CRD: 105291
 - 0 0 - Unknown
Financial Resources Management, Inc.
CRD: 132508
 - 0 0 - Unknown
Financial Resources TAX & Financial
CRD: 122593
 - 0 0 - Unknown
Financial Resources, Inc.
CRD: 10383
 - 0 0 A INACTIVE
Financial Roadmap, Inc.
CRD: 113900
 - 0 0 - Unknown
Financial Rounds
CRD: 110384
 - 0 2 - Unknown
Financial Scaffolding, LLC
CRD: 328270
 - 0 0 - Unknown
Financial Sciences, Inc.
CRD: 6653
 - 0 0 A INACTIVE
Financial Securities Network,Inc.
CRD: 16153
 - 0 0 A INACTIVE
Financial Security by Design
CRD: 136345
 - 0 0 - Unknown
Financial Security Group, LLC
CRD: 124686
 - 0 0 - Unknown
Financial Security Planning Services, Inc.
CRD: 136169
 - 0 1 - Unknown
Financial Security Services Group, Inc.
CRD: 167464
 - 0 4 - Unknown
Financial Security Services, LLC
CRD: 135122
 - 0 0 - Unknown
Financial Security Solutions, Corp.
CRD: 124085
 - 0 2 - Unknown
Page 522 of 1601 (80,028 total)
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