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 Telesis Inc CRD: 31012 | CA | 0 | 4 | A | Active |
| Financial Thinking Partner Wealth Advisors CRD: 340776 | - | 0 | 1 | - | Unknown |
| Financial Threat Analysis LLC CRD: 282260 | - | 0 | 0 | - | Unknown |
| Financial Transparency CRD: 297713 | - | 0 | 17 | - | Unknown |
| Financial Transparency, LLC CRD: 291928 | - | 0 | 0 | - | Unknown |
| Financial Trex, LLC CRD: 283951 | - | 0 | 1 | - | Unknown |
| Financial Trust Asset Management Chartered CRD: 108998 | - | 0 | 5 | - | Unknown |
| Financial Vision Advisory Services, LLC CRD: 120921 | - | 0 | 0 | - | Unknown |
| Financial Vision Advisory Services, LLC. CRD: 125195 | - | 0 | 1 | - | Unknown |
| Financial Vision LLC CRD: 123659 | - | 0 | 2 | - | Unknown |
| Financial Wealth-Being CRD: 285522 | - | 0 | 0 | - | Unknown |
| Financial Well-Being Advisors LLC CRD: 288203 | - | 0 | 2 | - | Unknown |
| Financial West Group CRD: 16668 | - | 80 | 0 | F | INACTIVE |
| Financial West Investment Group CRD: 17869 | - | 0 | 0 | A | INACTIVE |
| Financial Wings, LLC CRD: 138050 | - | 0 | 0 | - | Unknown |
| Financial World Corporation CRD: 41377 | - | 1 | 0 | B | INACTIVE |
| Financial ZEN CRD: 282230 | - | 0 | 1 | - | Unknown |
| Financialfamilies CRD: 170373 | - | 0 | 1 | - | Unknown |
| Financialife Outfitters LLC CRD: 290053 | - | 0 | 1 | - | Unknown |
| Financialindependence4ME, LLC CRD: 281855 | - | 0 | 0 | - | Unknown |
| Financially Advised CRD: 308598 | - | 0 | 0 | - | Unknown |
| Financially Healthy, LLC CRD: 156022 | - | 0 | 1 | - | Unknown |
| Financially in Tune CRD: 156200 | - | 0 | 1 | - | Unknown |
| Financially Speaking Inc CRD: 106255 | - | 0 | 2 | - | Unknown |
| Financially Wise, Inc. CRD: 168449 | - | 0 | 0 | - | Unknown |
| Financialmd, LLC CRD: 306947 | - | 0 | 1 | - | Unknown |
| Financialogiq CRD: 291779 | - | 0 | 0 | - | Unknown |
| Financialosophy CRD: 304457 | - | 0 | 0 | - | Unknown |
| Financialplanning4ME, LLC CRD: 289079 | - | 0 | 0 | - | Unknown |
| Financialx, Inc. CRD: 13833 | - | 6 | 0 | D | INACTIVE |
| Financiere Indosuez Incorporated CRD: 23569 | - | 0 | 0 | A | INACTIVE |
| Financo Securities LLC CRD: 104083 | - | 0 | 0 | A | INACTIVE |
| Financo Securities, LLC CRD: 167221 | - | 0 | 0 | A | INACTIVE |
| Finanstar Group, LLC CRD: 46168 | - | 0 | 0 | A | INACTIVE |
| Finantia USA Inc. CRD: 39120 | FL | 1 | 2 | B | Active |
| Finanz Butik Capital Management, LLC CRD: 325693 | - | 0 | 3 | - | Unknown |
| Finaport Americas Investment Advisers, LLC CRD: 168054 | - | 0 | 0 | - | Unknown |
| Finarc Investments, Inc. CRD: 166571 | - | 0 | 1 | - | Unknown |
| Finbar Securities Corp. CRD: 21522 | - | 1 | 0 | B | INACTIVE |
| Fincadia Advisors LLC CRD: 338396 | - | 0 | 1 | - | Unknown |
| Fincap Fund I GP, LLC CRD: 326004 | - | 0 | 0 | - | Unknown |
| Finch BAY Capital LLP CRD: 332116 | - | 0 | 0 | - | Unknown |
| Finch Financial CRD: 192525 | - | 0 | 0 | - | Unknown |
| Finch Lane Partners, LLC CRD: 327827 | - | 0 | 1 | - | Unknown |
| Finch Wealth Management, LLC CRD: 315751 | - | 0 | 0 | - | Unknown |
| Finch Wealth Management, LLC CRD: 213514 | - | 0 | 0 | - | Unknown |
| Finchwood Capital, L.P. CRD: 282068 | - | 0 | 0 | - | Unknown |
| Finco Advisory LLC CRD: 312984 | - | 0 | 1 | - | Unknown |
| Finco Investment Services, Inc. CRD: 163491 | - | 0 | 1 | - | Unknown |
| Fincop Financial Planning CRD: 330320 | - | 0 | 1 | - | Unknown |