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 Rank Financial
CRD: 340836
 - 0 1 - Unknown
First Real Estate Capital, Inc.
CRD: 16101
 - 0 0 A INACTIVE
First Realty Capital Markets, Inc.
CRD: 37022
 - 0 0 A INACTIVE
First Regional Investcorp, Inc.
CRD: 26318
 - 0 0 A INACTIVE
First Regional Investment Bankers, Inc.
CRD: 19658
 - 0 0 A INACTIVE
First Regional Securities
CRD: 145032
 - 0 0 A INACTIVE
First Registry, Inc.
CRD: 15611
 - 0 0 A INACTIVE
First Republic Securities Company, LLC
CRD: 105108
 - 3 0 C INACTIVE
First Republic Securities, Inc.
CRD: 6898
 - 0 0 A INACTIVE
First Research Financial
CRD: 27915
 - 3 0 C INACTIVE
First Reserve
CRD: 157056
 - 0 1 - Unknown
First Reserve Securities Corporation
CRD: 10154
 - 0 0 A INACTIVE
First Retirement Services LLC
CRD: 328202
 - 0 1 - Unknown
First Rice Partners LLC
CRD: 287503
 - 0 0 - Unknown
First ROW Partners LLC
CRD: 313174
 - 0 1 - Unknown
First Royalty Securities
CRD: 28941
 - 0 0 A INACTIVE
First SAN Antonio Securities, Inc.
CRD: 8378
 - 0 0 A INACTIVE
First SAN Francisco Securities
CRD: 18497
 - 0 0 A INACTIVE
First Savings Securities, Inc.
CRD: 15138
 - 0 0 A INACTIVE
First Savings Securities, Inc.
CRD: 132016
 - 0 0 A INACTIVE
First Saxonia Securities, Inc.
CRD: 29245
 - 1 0 B INACTIVE
First Securities Co. of Manitowoc Inc.
CRD: 1860
 - 0 0 A INACTIVE
First Securities Company
CRD: 1858
 - 0 0 A INACTIVE
First Securities Company of Kansas, Incorporated
CRD: 313
 - 0 0 A INACTIVE
First Securities Corporation of Columbus
CRD: 7923
 - 0 0 A INACTIVE
First Securities Corporation of the Southwest
CRD: 10511
 - 0 0 A INACTIVE
First Securities Group of California Incorporated
CRD: 17138
 - 0 0 A INACTIVE
First Securities Network Corporation
CRD: 19435
 - 0 0 A INACTIVE
First Securities Northwest, Inc.
CRD: 14627
 OR 1 2 B Active
First Securities of West Monroe, Inc.
CRD: 13398
 - 1 0 B INACTIVE
First Securities USA, Inc.
CRD: 39986
 - 8 0 D INACTIVE
First Security Brokerage Company of Kentucky
CRD: 17421
 - 0 0 A INACTIVE
First Security Capital, LLC
CRD: 289728
 - 0 1 - Unknown
First Security Financial Wealth Manager, Inc.
CRD: 286470
 - 0 1 - Unknown
First Security Fund Advisers, Inc.
CRD: 179538
 - 0 0 - Unknown
First Security Investments, Inc.
CRD: 24035
 - 14 0 D INACTIVE
First Security Investor Services, Inc.
CRD: 15515
 - 0 0 A INACTIVE
First Sentier Investors
CRD: 160034
 - 0 0 - Unknown
First Sentier Investors
CRD: 175193
 - 0 0 - Unknown
First Sentier Investors
CRD: 283670
 - 0 0 - Unknown
First Sentier Investors
CRD: 283669
 - 0 0 - Unknown
First Sentier Investors (Hong Kong) Limited
CRD: 281553
 - 0 0 - Unknown
First Sentier Investors (Ireland) Limited
CRD: 304423
 - 0 0 - Unknown
First Sentier Investors (Singapore)
CRD: 165124
 - 0 0 - Unknown
First Sentier Investors (UK) Funds Limited
CRD: 171592
 - 0 0 - Unknown
First Sentier Investors (UK) IM Limited
CRD: 281323
 - 0 0 - Unknown
First Sentier Investors (US) LLC
CRD: 170739
 - 0 1 - Unknown
First Sentier Investors International IM Limited
CRD: 110992
 - 0 0 - Unknown
First Sentinel Securities Ltd.
CRD: 5876
 - 1 0 B INACTIVE
First Shelbourne
CRD: 321045
 - 0 1 - Unknown
Page 535 of 1601 (80,028 total)
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