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
First Allied Advisory Services, Inc.
CRD: 137888
 - 0 0 - Unknown
First Allied Securities, Inc.
CRD: 32444
 - 34 0 F INACTIVE
First America Equities Corp.
CRD: 7652
 - 0 0 A INACTIVE
First America Equities Corp.
CRD: 21473
 - 0 0 A INACTIVE
First American Advisory, LLC
CRD: 119825
 - 0 0 - Unknown
First American Asset Advisory, LLC
CRD: 282254
 - 0 1 - Unknown
First American Asset Management Group, Inc.
CRD: 16661
 - 0 0 A INACTIVE
First American Biltmore Securities, Inc.
CRD: 17585
 - 0 0 A INACTIVE
First American Capital and Trading Corporation
CRD: 118812
 - 6 0 D INACTIVE
First American Capital Resources, Inc.
CRD: 16818
 - 0 0 A INACTIVE
First American Discount Brokerage Service
CRD: 15538
 - 0 0 A INACTIVE
First American Financial Advisors Inc.
CRD: 170404
 - 0 0 - Unknown
First American Financial Advisors, Inc.
CRD: 113420
 - 0 4 - Unknown
First American Financial, Incorporated
CRD: 16141
 - 0 0 A INACTIVE
First American Investment Securities, Inc.
CRD: 13689
 - 0 0 A INACTIVE
First American Securities, Inc.
CRD: 18430
 - 0 0 A INACTIVE
First American Services Division Inc.
CRD: 17968
 - 0 0 A INACTIVE
First Analysis Capital Management LLC
CRD: 161373
 - 0 1 - Unknown
First and Main Financial
CRD: 121359
 - 0 2 - Unknown
First Arizona Investment Securities, Inc.
CRD: 16602
 - 0 0 A INACTIVE
First Arlington Securities, Inc.
CRD: 10372
 - 0 0 A INACTIVE
First Ascent Asset Management, LLC
CRD: 281470
 - 0 0 - Unknown
First Ascent Financial, LLC
CRD: 281994
 - 0 0 - Unknown
First Asian Securities Corporation
CRD: 18123
 - 0 0 A INACTIVE
First Asset Financial Inc.
CRD: 139107
 KS 1 3 B Active
First Asset Management, Inc.
CRD: 17341
 - 0 0 A INACTIVE
First Associated Investment Advisors, Inc.
CRD: 113086
 - 0 2 - Unknown
First Associated Securities & Insurance Agencies, …
CRD: 20819
 - 0 0 A INACTIVE
First Atlantic Capital, Ltd.
CRD: 160496
 - 0 0 - Unknown
First Atlantic Equities Corporation
CRD: 17718
 - 0 0 A INACTIVE
First Avenue
CRD: 145860
 NY 0 2 A Active
First Avenue Ventures GP, LLC
CRD: 334530
 - 0 1 - Unknown
First Ballantyne, LLC
CRD: 125393
 NC 1 2 B Active
First Bank Puerto Rico Securities, Corp.
CRD: 150135
 - 0 0 A INACTIVE
First Bankers' Banc Securities, Inc
CRD: 15041
 MO 2 4 B Active
First Banqhouse Investment Group, Inc.
CRD: 30204
 - 0 0 A INACTIVE
First BAY Area Securities Equity, Ltd.
CRD: 16451
 - 0 0 A INACTIVE
First Beijing
CRD: 164293
 - 0 0 - Unknown
First Benefit Securities, Inc.
CRD: 14868
 - 0 0 A INACTIVE
First Bermuda Securities Ltd.
CRD: 29331
 - 5 0 C INACTIVE
First Beverage Advisors, LLC
CRD: 154030
 - 0 0 A INACTIVE
First Bight Ventures
CRD: 318381
 - 0 1 - Unknown
First Birmingham Securities Corporation
CRD: 4314
 - 0 0 A INACTIVE
First Biscayne Corporation
CRD: 6711
 - 0 0 A INACTIVE
First Boca Securities, Inc.
CRD: 3251
 - 0 0 A INACTIVE
First Bridge Lending
CRD: 284179
 - 0 1 - Unknown
First Brokerage America, L.L.C.
CRD: 43431
 - 2 0 B INACTIVE
First Brokerage Services, Inc.
CRD: 18154
 - 0 0 A INACTIVE
First Brokers Securities LLC
CRD: 27369
 NJ 3 3 B Active
First Buckingham Group Inc.
CRD: 38972
 - 0 0 A INACTIVE
Page 528 of 1601 (80,028 total)
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