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 Busey Securities, Inc.
CRD: 27439
 - 0 0 A INACTIVE
First California Capital Markets Group, Inc.
CRD: 16116
 - 0 0 A INACTIVE
First Call Capital, LLC
CRD: 342134
 - 0 1 - Unknown
First Cambridge Company
CRD: 16419
 - 0 0 A INACTIVE
First Cambridge Securities Corporation
CRD: 21846
 - 0 0 A INACTIVE
First Capital Advisors Group, LLC
CRD: 281322
 - 0 0 - Unknown
First Capital Equities,Ltd.
CRD: 14428
 - 1 0 B INACTIVE
First Capital Financial Group, Inc.
CRD: 16706
 - 0 0 A INACTIVE
First Capital Funding, Incorporated
CRD: 20889
 - 0 0 A INACTIVE
First Capital Group Management Company, LLC
CRD: 163516
 - 0 0 - Unknown
First Capital Growth, Inc.
CRD: 20890
 - 0 0 A INACTIVE
First Capital Investment Corporation
CRD: 6811
 - 0 0 A INACTIVE
First Capital Management
CRD: 130241
 - 0 0 - Unknown
First Capital Management, L.L.C.
CRD: 118087
 - 0 0 - Unknown
First Capital Securities
CRD: 21470
 - 0 0 A INACTIVE
First Capital Securities Co.
CRD: 14112
 - 0 0 A INACTIVE
First Capital Solutions, LLC
CRD: 40468
 - 0 0 A INACTIVE
First Carolina Capital Corp.
CRD: 17413
 - 0 0 A INACTIVE
First Carolina Investment Corp.
CRD: 22515
 - 0 0 A INACTIVE
First Centrum Securities Corporation
CRD: 10402
 - 0 0 A INACTIVE
First Certified Corporation
CRD: 15175
 - 0 0 A INACTIVE
First Charles Capital Corp.
CRD: 13189
 - 0 0 A INACTIVE
First Charter Securities Corp.
CRD: 26748
 - 0 0 A INACTIVE
First Chatham Securities, Inc.
CRD: 15025
 - 0 0 A INACTIVE
First Check Ventures Capital, LLC
CRD: 326201
 - 0 1 - Unknown
First Chesapeake Securities Corporation
CRD: 10517
 - 0 0 A INACTIVE
First China Capital, Inc.
CRD: 38945
 - 0 0 A INACTIVE
First Choice Financial Planning LLC
CRD: 309162
 - 0 1 - Unknown
First Choice Financial Planning, LLC
CRD: 166363
 - 0 1 - Unknown
First Choice Financial Services LLC
CRD: 145255
 - 0 1 - Unknown
First Choice Securities Corp.
CRD: 17021
 - 0 0 A INACTIVE
First Citizens Capital Securities, LLC
CRD: 41504
 NY 0 2 A Active
First Citizens Financial Plus, Inc.
CRD: 18591
 - 2 0 B INACTIVE
First Citizens Investor Services, Inc.
CRD: 44430
 NC 6 307 B Active
First Citizens Municipal Corporation
CRD: 7265
 - 0 0 A INACTIVE
First Citizens Securities Corporation
CRD: 140161
 - 0 0 A INACTIVE
First City Capital Management Inc
CRD: 104780
 - 0 3 - Unknown
First City Company
CRD: 13579
 - 0 0 A INACTIVE
First City Financial Services, Inc.
CRD: 15985
 - 0 0 A INACTIVE
First City Investors Corporation
CRD: 13113
 - 0 0 A INACTIVE
First City Securities, Inc.
CRD: 13191
 - 0 0 A INACTIVE
First Class Capital
CRD: 173393
 - 0 0 - Unknown
First Class Capital
CRD: 329109
 - 0 2 - Unknown
First Class Financial
CRD: 341096
 - 0 1 - Unknown
First Clearing, LLC
CRD: 17344
 - 36 0 F INACTIVE
First Cleveland Investments, Inc.
CRD: 3928
 - 0 0 A INACTIVE
First Coast Planning, LLC
CRD: 286180
 - 0 0 - Unknown
First Coast Securities, Inc.
CRD: 41853
 - 0 0 A INACTIVE
First Colonial Investment Services, Inc.
CRD: 26969
 - 0 0 A INACTIVE
First Colonial Securities
CRD: 25121
 - 8 0 D INACTIVE
Page 529 of 1601 (80,028 total)
← Prev Next →