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 Funding Securities Corp.
CRD: 91
 - 0 0 A INACTIVE
First Funds, Inc.
CRD: 17415
 - 0 0 A INACTIVE
First Gateway Securities Inc.
CRD: 22596
 - 0 0 A INACTIVE
First Generation Financial
CRD: 309492
 - 0 0 - Unknown
First Generation Holdings LLC
CRD: 333277
 - 0 1 - Unknown
First Georgetown Securities, Inc.
CRD: 5871
 VA 18 3 D Active
First Global
CRD: 312469
 - 0 0 - Unknown
First Global Securities, Inc.
CRD: 18737
 - 0 0 A INACTIVE
First Global Securities, Inc.
CRD: 28612
 - 4 0 C INACTIVE
First Government Securities, Ltd.
CRD: 19771
 - 0 0 A INACTIVE
First Graham Securities, Inc.
CRD: 45047
 - 1 0 B INACTIVE
First Granite Securities, Inc.
CRD: 38419
 - 0 0 A INACTIVE
First Greenwich, Inc.
CRD: 13224
 - 0 0 A INACTIVE
First Group Securities,Ltd.
CRD: 13571
 - 0 0 A INACTIVE
First Growth Capital LLC
CRD: 305958
 - 0 2 - Unknown
First Guardian Financial, Inc.
CRD: 15066
 - 0 0 A INACTIVE
First Gulfcoast Investments, Inc.
CRD: 28715
 - 0 0 A INACTIVE
First Hampshire Securities, Inc.
CRD: 15600
 - 0 0 A INACTIVE
First Hand Financial LLC
CRD: 318111
 - 0 0 - Unknown
First Hand Financial LLC
CRD: 331894
 - 0 0 - Unknown
First Harbor Securities Corporation
CRD: 15350
 - 0 0 A INACTIVE
First Harmonic Group LLC
CRD: 334062
 - 0 1 - Unknown
First Hartford Securities Corporation
CRD: 15369
 - 0 0 A INACTIVE
First Heartland Capital, Inc.
CRD: 32460
 MO 3 114 B Active
First Heartland Consultants, Inc.
CRD: 110377
 - 0 100 - Unknown
First Hedge Capital Management
CRD: 166941
 - 0 1 - Unknown
First Heritage Corporation
CRD: 330
 - 0 0 A INACTIVE
First Heritage Investment Co.
CRD: 7326
 - 0 0 A INACTIVE
First Hill Securities, LLC
CRD: 166445
 CO 0 3 A Active
First Honolulu Securities, Inc.
CRD: 7964
 HI 10 2 C Active
First Horizon Advisors, Inc.
CRD: 17117
 - 9 0 D INACTIVE
First Houston Capital, Inc.
CRD: 140123
 - 0 0 - Unknown
First Houstonian Securities, Inc.
CRD: 7762
 - 0 0 A INACTIVE
First Hudson Financial Group, Inc.
CRD: 32926
 - 7 0 D INACTIVE
First Huntington Securities Corp.
CRD: 7464
 - 0 0 A INACTIVE
First Huntsville Securities Corporation
CRD: 10364
 - 0 0 A INACTIVE
First Illinois Securities Inc.
CRD: 19067
 - 1 0 B INACTIVE
First Imperial Investor Services, Inc.
CRD: 20722
 - 0 0 A INACTIVE
First in Line Enterprises, Inc.
CRD: 321207
 - 0 0 - Unknown
First in Ventures
CRD: 314757
 - 0 0 - Unknown
First Independence Group Inc.
CRD: 17407
 - 0 0 A INACTIVE
First Independent Advisory Services, Inc.
CRD: 132678
 - 0 0 - Unknown
First Independent Financial Services, Inc.
CRD: 128904
 - 1 0 B INACTIVE
First Inland Securities, Inc.
CRD: 16807
 - 0 0 A INACTIVE
First Institutional Group, Inc.
CRD: 27250
 - 0 0 A INACTIVE
First Institutional Securities, L.L.C.
CRD: 23910
 - 6 0 C INACTIVE
First Integrity Capital Partners Corp.
CRD: 146049
 - 2 0 B INACTIVE
First International Investment Corporation
CRD: 15509
 - 1 0 B INACTIVE
First Internet Securities Network
CRD: 18498
 - 5 0 C INACTIVE
First Interregional Equity Corp.
CRD: 7486
 - 0 0 A INACTIVE
Page 532 of 1601 (80,028 total)
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