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 Interstate Brokerage of Texas, Inc.
CRD: 17450
 - 0 0 A INACTIVE
First Interstate Discount Brokerage
CRD: 14371
 - 0 0 A INACTIVE
First Interstate Investments,Inc.
CRD: 17101
 - 0 0 A INACTIVE
First Invest
CRD: 13009
 - 0 0 A INACTIVE
First Investment of California
CRD: 14359
 - 0 0 A INACTIVE
First Investment Securities, Inc.
CRD: 13459
 - 0 0 A INACTIVE
First Investment Services, Inc.
CRD: 8664
 - 0 0 A INACTIVE
First Investments of Fargo, Inc.
CRD: 15880
 - 0 0 A INACTIVE
First Investors Management Company, Inc.
CRD: 1844
 - 0 0 A INACTIVE
First Island Capital Inc.
CRD: 32200
 - 0 0 A INACTIVE
First Jefferson Securities, Inc.
CRD: 1833
 - 0 0 A INACTIVE
First Jersey Securities, Inc.
CRD: 6621
 - 0 0 A INACTIVE
First Kentucky Securities Corporation
CRD: 7524
 KY 13 5 C Active
First Legacy Securities, LLC
CRD: 47079
 - 7 0 D INACTIVE
First Liberties Financial
CRD: 14432
 FL 2 2 B Active
First Liberty Financial LLC
CRD: 145437
 - 0 0 - Unknown
First Liberty Investment Group, Inc.
CRD: 3536
 - 25 0 F INACTIVE
First Light Asset Management, LLC
CRD: 168899
 - 0 1 - Unknown
First Light Financial
CRD: 118922
 - 0 1 - Unknown
First Light Financial Incorporated
CRD: 302006
 - 0 0 - Unknown
First Light Retirement, LLC
CRD: 314509
 - 0 1 - Unknown
First Light Wealth
CRD: 325471
 - 0 1 - Unknown
First Light Wealth Advisors, LLC
CRD: 291214
 - 0 1 - Unknown
First Lincoln Investments, Inc.
CRD: 7076
 - 2 0 B INACTIVE
First Liquidity
CRD: 19696
 - 0 0 A INACTIVE
First Long Island Investors, LLC
CRD: 167212
 - 0 1 - Unknown
First Look Capital Management, LLC
CRD: 173040
 - 0 1 - Unknown
First LOS Angeles Discount Securities
CRD: 10247
 - 0 0 A INACTIVE
First Madison Capital Corp.
CRD: 10196
 - 0 0 A INACTIVE
First Madison Securities, Inc.
CRD: 14288
 - 0 0 A INACTIVE
First Main Capital
CRD: 319246
 - 0 3 - Unknown
First MAN Investment Securities Corp.
CRD: 129079
 - 0 0 A INACTIVE
First Manhattan Co. LLC
CRD: 325281
 - 0 7 - Unknown
First Market International Securities Corporation
CRD: 14782
 - 0 0 A INACTIVE
First Mason Financial, LLC
CRD: 145025
 - 0 2 - Unknown
First Merchants Enterprises, Inc.
CRD: 13527
 - 0 0 A INACTIVE
First Merger Capital, Inc
CRD: 44083
 - 1 0 B INACTIVE
First Miami Securities Pension Services Corporatio…
CRD: 36770
 - 0 0 A INACTIVE
First Midstate Incorporated
CRD: 4300
 - 3 0 C INACTIVE
First Midwest Capital Corp.
CRD: 18499
 - 0 0 A INACTIVE
First Midwest Corporation
CRD: 5512
 - 0 0 A INACTIVE
First Midwest Investments
CRD: 269979
 - 0 1 - Unknown
First Money Managers Financial Services, Inc.
CRD: 14935
 - 0 0 A INACTIVE
First Money Store Securities Inc.
CRD: 20758
 - 0 0 A INACTIVE
First Montauk Securities Corp.
CRD: 13755
 - 53 0 F INACTIVE
First Move Financial, LLC
CRD: 289880
 - 0 1 - Unknown
First Municipal Corp.
CRD: 7022
 - 0 0 A INACTIVE
First Mutual Planning Corp.
CRD: 309
 - 0 0 A INACTIVE
First Nashville Corporation
CRD: 13778
 - 0 0 A INACTIVE
First National Advisers, LLC
CRD: 277146
 - 0 8 - Unknown
Page 533 of 1601 (80,028 total)
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