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 |
|---|---|---|---|---|---|
| Aletheia Securities, Inc., CRD: 44784 | - | 18 | 0 | F | INACTIVE |
| Aletheian Wealth Advisors LLC CRD: 304623 | - | 0 | 4 | - | Unknown |
| Aleto CRD: 342410 | - | 0 | 1 | - | Unknown |
| Alex Green Investment Management LLC CRD: 106958 | - | 0 | 0 | - | Unknown |
| Alex Moore & Company, Inc. CRD: 28062 | - | 4 | 0 | C | INACTIVE |
| Alex. Brown & Sons Incorporated CRD: 20 | - | 0 | 0 | A | INACTIVE |
| Alexa Wealth Management, LLC CRD: 302021 | - | 0 | 1 | - | Unknown |
| Alexander & Alexander Securities Corp. CRD: 7907 | - | 0 | 0 | A | INACTIVE |
| Alexander Advisory Services, LLC CRD: 304392 | - | 0 | 1 | - | Unknown |
| Alexander Associates Incorporated CRD: 13357 | - | 0 | 0 | A | INACTIVE |
| Alexander Beard (USA) Inc. CRD: 134642 | - | 0 | 2 | - | Unknown |
| Alexander Capital Advisors, LLC CRD: 140508 | - | 0 | 2 | - | Unknown |
| Alexander Capital Ventures Management, LLC CRD: 306957 | - | 0 | 1 | - | Unknown |
| Alexander Capital, L.P. CRD: 40077 | NJ | 7 | 13 | B | Active |
| Alexander Coleman, LLC CRD: 321622 | - | 0 | 0 | - | Unknown |
| Alexander D Cohen Investments, LLC CRD: 170548 | - | 0 | 1 | - | Unknown |
| Alexander Dunham Securities, Inc. CRD: 23614 | - | 2 | 0 | B | INACTIVE |
| Alexander Hutton Capital, L.L.C. CRD: 37234 | - | 0 | 0 | A | INACTIVE |
| Alexander Kale Securities, Inc. CRD: 13371 | - | 0 | 0 | A | INACTIVE |
| Alexander Lievens LLP CRD: 170902 | - | 0 | 0 | - | Unknown |
| Alexander Michaels, Inc. CRD: 11525 | - | 0 | 0 | A | INACTIVE |
| Alexander Randolph Advisory Inc CRD: 106024 | - | 0 | 3 | - | Unknown |
| Alexander Road Capital CRD: 311672 | - | 0 | 1 | - | Unknown |
| Alexander Thomas LLC CRD: 132557 | - | 0 | 0 | A | INACTIVE |
| Alexander Wealth Planning, LLC CRD: 301183 | - | 0 | 0 | - | Unknown |
| Alexander, David Bruce CRD: 34089 | - | 0 | 0 | A | INACTIVE |
| Alexander, Dean D. CRD: 311403 | - | 0 | 1 | - | Unknown |
| Alexander, Jimmie CRD: 134515 | - | 0 | 0 | - | Unknown |
| Alexander, Wescott, & Co., Inc. CRD: 35935 | - | 8 | 0 | D | INACTIVE |
| Alexandra Armstrong Associates, Inc. CRD: 13232 | - | 0 | 0 | A | INACTIVE |
| Alexandra Armstrong Financial Services, LLC CRD: 283079 | - | 0 | 0 | - | Unknown |
| Alexandria Capital CRD: 129120 | - | 0 | 0 | - | Unknown |
| Alexandria Capital Partners, L.P. CRD: 154585 | - | 2 | 0 | B | INACTIVE |
| Alexandrite Group LLC CRD: 147411 | - | 0 | 0 | - | Unknown |
| Alexia Ventures CRD: 310181 | - | 0 | 0 | - | Unknown |
| Alexis Advisors CRD: 167075 | - | 0 | 2 | - | Unknown |
| Alexis and Palmer Financial Advisors LLC CRD: 130518 | - | 0 | 0 | - | Unknown |
| Alexson Investment Group CRD: 281850 | - | 0 | 0 | - | Unknown |
| Alexus Wealth Management LLC CRD: 284520 | - | 0 | 0 | - | Unknown |
| Alfa Algorithms HK Limited CRD: 333190 | - | 0 | 0 | - | Unknown |
| Alfa Indigo, S.A.P.I. DE C.V. CRD: 332462 | - | 0 | 0 | - | Unknown |
| Alfano, Patrick Michael CRD: 136116 | - | 0 | 0 | A | INACTIVE |
| Alfonso, Orlando Jose CRD: 32064 | - | 0 | 0 | A | INACTIVE |
| Alford Retirement Solutions LLC CRD: 173569 | - | 0 | 0 | - | Unknown |
| Alford Wealth Management, LLC CRD: 318259 | - | 0 | 0 | - | Unknown |
| Alfred Berg, Inc. CRD: 28920 | - | 0 | 0 | A | INACTIVE |
| Alfred Berg, Inc. CRD: 40535 | - | 0 | 0 | A | INACTIVE |
| Alfred R. Minafo, Inc. CRD: 104373 | - | 0 | 0 | A | INACTIVE |
| Alfred Securities, Inc. CRD: 14932 | - | 2 | 0 | B | INACTIVE |
| Alfredo Marin, JR. D/B/a Alfredo Marin Financial A… CRD: 311070 | - | 0 | 0 | - | Unknown |