Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| BASE SYSTEMS, LLC CRD: 46951 | — | 0 | 0 | A | INACTIVE |
| BASE WEALTH MANAGEMENT CRD: 321991 | — | 0 | 0 | A | Unknown |
| BASELINE VENTURES CRD: 294309 | — | 0 | 0 | A | Unknown |
| BASIC INVESTORS INC. CRD: 1187 | — | 7 | 0 | F | INACTIVE |
| BASIL FINANCIAL GROUP CRD: 156876 | — | 0 | 0 | A | Unknown |
| BASILIC CRD: 329731 | — | 0 | 0 | A | Unknown |
| BASIS FINANCIAL, LLC CRD: 43694 | — | 4 | 0 | F | INACTIVE |
| BASIS POINT LLC CRD: 305327 | — | 0 | 0 | A | Unknown |
| BASIS SET BUILDERS, LLC CRD: 313162 | — | 0 | 0 | A | Unknown |
| BASIS TAX ADVISORY LLC CRD: 325949 | — | 0 | 0 | A | Unknown |
| BASS AND BELL, INC. CRD: 300557 | — | 0 | 0 | A | Unknown |
| BASS ROCKS, LLC / BASS ROCKS ASSET MANAGEMENT CRD: 327710 | — | 0 | 0 | A | Unknown |
| BASSIN, BRUCE CRD: 283413 | — | 0 | 0 | A | Unknown |
| BAT VC LLC CRD: 318041 | — | 0 | 0 | A | Unknown |
| BATH LEEDS, LLC CRD: 293875 | — | 0 | 0 | A | Unknown |
| BATTERY MANAGEMENT CORP. CRD: 160921 | — | 0 | 0 | A | Unknown |
| BAU ADVISORS CRD: 301667 | — | 0 | 0 | A | Unknown |
| BAUGH FINANCIAL CRD: 323833 | — | 0 | 0 | A | Unknown |
| BAUM PARTNERSHIPS CRD: 314042 | — | 0 | 0 | A | Unknown |
| BAXTER & COMPANY CRD: 16579 | — | 0 | 0 | A | INACTIVE |
| BAXTER BANKS & SMITH, LTD. CRD: 40771 | — | 32 | 0 | F | INACTIVE |
| BAXTER BROWN & COMPANY, INCORPORATED CRD: 7542 | — | 0 | 0 | A | INACTIVE |
| BAY AREA WEALTH ADVISORS CRD: 339420 | — | 0 | 0 | A | Unknown |
| BAY BRIDGE CAPITAL MANAGEMENT, LLC CRD: 169858 | — | 0 | 0 | A | Unknown |
| BAY CAPITAL CRD: 113776 | — | 0 | 0 | A | Unknown |
| BAY CAPITAL MANAGEMENT CRD: 130183 | — | 0 | 0 | A | Unknown |
| BAY CITY CAPITAL BD LLC CRD: 46364 | — | 0 | 0 | A | INACTIVE |
| BAY CITY CAPITAL GF XINDE INVESTMENT MANAGEMENT CO CRD: 286040 | — | 0 | 0 | A | Unknown |
| BAY CITY CAPITAL LLC CRD: 160525 | — | 0 | 0 | A | Unknown |
| BAY EQUITIES, INC. CRD: 14476 | — | 0 | 0 | A | INACTIVE |
| BAY POINT WEALTH CRD: 123095 | — | 0 | 0 | A | Unknown |
| BAY STATE EQUITY GROUP CRD: 14059 | — | 0 | 0 | A | INACTIVE |
| BAYBANKS BROKERAGE SERVICES, INC. CRD: 17536 | — | 0 | 0 | A | INACTIVE |
| BAYCREST FINANCIAL CRD: 20979 | — | 0 | 0 | A | INACTIVE |
| BAYFOREST CRD: 312969 | — | 0 | 0 | A | Unknown |
| BAYLIGHT CAPITAL, LLC CRD: 133385 | — | 0 | 0 | A | Unknown |
| BAYOU BAY CAPITAL MANAGEMENT, LLC CRD: 330432 | — | 0 | 0 | A | Unknown |
| BAYOU BRIDGE CAPITAL ADVISORS, LLC CRD: 318595 | — | 0 | 0 | A | Unknown |
| BAYOU CITY ENERGY CRD: 283269 | — | 0 | 0 | A | Unknown |
| BAYSIDE CAPITAL PARTNERS, L.P. CRD: 36593 | — | 0 | 0 | A | INACTIVE |
| BAYWORTH CAPITAL CRD: 284360 | — | 0 | 0 | A | Unknown |
| BAZIS PRIVATE WEALTH, LLC CRD: 148605 | — | 0 | 0 | A | Unknown |
| BAZZELL FINANCIAL CRD: 135071 | — | 0 | 0 | A | Unknown |
| BB FUNDING, INC. CRD: 25122 | — | 0 | 0 | A | INACTIVE |
| BB SHELF 4 LLP CRD: 172471 | — | 0 | 0 | A | Unknown |
| BB&T SECURITIES, LLC CRD: 142785 | — | 51 | 0 | F | INACTIVE |
| BBA ICATU SECURITIES INC. CRD: 36370 | — | 0 | 0 | A | INACTIVE |
| BBA SECURITIES CORP. CRD: 43512 | — | 0 | 0 | A | INACTIVE |
| BBAM US LP CRD: 175441 | — | 0 | 0 | A | Unknown |
| BBCY INVESTMENTS CRD: 169164 | — | 0 | 0 | A | Unknown |