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 Shelburne Financial Corp.
CRD: 14956
 - 0 0 A INACTIVE
First Shore Private Wealth
CRD: 328768
 - 0 1 - Unknown
First Sierra Investment Company, Inc.
CRD: 18624
 - 3 0 C INACTIVE
First Sigma Capital LLC
CRD: 173642
 - 0 1 - Unknown
First Sojo Capital Group, LLC
CRD: 300731
 - 0 0 - Unknown
First South Carolina Securities, Inc.
CRD: 16651
 - 1 0 B INACTIVE
First Southeast Investor Services, Inc.
CRD: 45555
 - 0 0 A INACTIVE
First Southeastern Securities Group, Incorporated
CRD: 14538
 - 1 0 B INACTIVE
First Southern Securities, Inc.
CRD: 7300
 - 2 0 B INACTIVE
First Southern Securities, LLC.
CRD: 153133
 - 1 0 B INACTIVE
First Southern, LLC
CRD: 282756
 PR 4 5 B Active
First Sovereign Securities
CRD: 39147
 - 1 0 B INACTIVE
First Spark Ventures, LLC
CRD: 318886
 - 0 1 - Unknown
First Springfield Securities, Inc.
CRD: 25099
 - 0 0 A INACTIVE
First Standard Financial Advisory
CRD: 172743
 - 0 0 - Unknown
First Standard Financial Company LLC
CRD: 168340
 - 6 0 C INACTIVE
First Star Securities Corporation
CRD: 111963
 - 0 0 A INACTIVE
First Star Ventures
CRD: 288548
 - 0 1 - Unknown
First State Financial Management, Inc.
CRD: 16590
 - 4 0 C INACTIVE
First State Financial Services
CRD: 144706
 - 0 0 - Unknown
First State Financial, Inc.
CRD: 6108
 - 0 0 A INACTIVE
First State Investment Advisors Inc
CRD: 104788
 - 0 0 - Unknown
First State Investments, Inc.
CRD: 16693
 - 0 0 A INACTIVE
First State Securities, Inc.
CRD: 16329
 - 1 0 B INACTIVE
First State Street Equities, Inc.
CRD: 16866
 - 0 0 A INACTIVE
First Statewide Securities, Inc.
CRD: 16062
 - 0 0 A INACTIVE
First Step Financial
CRD: 338541
 - 0 1 - Unknown
First Step Wealth Planning
CRD: 317527
 - 0 1 - Unknown
First Strata Corporation
CRD: 15610
 - 0 0 A INACTIVE
First Street Investments, Inc.
CRD: 115258
 - 0 0 - Unknown
First Street Securities Corp.
CRD: 14221
 - 0 0 A INACTIVE
First Summit Securities, Inc.
CRD: 39033
 - 1 0 B INACTIVE
First Swiss International Securities Corporation
CRD: 7958
 - 0 0 A INACTIVE
First Syndicated Securities Corporation
CRD: 16265
 - 0 0 A INACTIVE
First Tampa Securities, Inc.
CRD: 16536
 - 0 0 A INACTIVE
First Team Capital, LLC
CRD: 301899
 - 0 0 - Unknown
First Technology Securities, Inc.
CRD: 17753
 - 0 0 A INACTIVE
First Texas Brokerage, Inc.
CRD: 10851
 - 0 0 A INACTIVE
First Texas Capital Corporation
CRD: 18174
 - 0 0 A INACTIVE
First Texas Group, Inc.
CRD: 14336
 - 0 0 A INACTIVE
First Texas Securities, Inc.
CRD: 7437
 - 0 0 A INACTIVE
First There Financial Planning
CRD: 311100
 - 0 0 - Unknown
First Things First Financial Planning
CRD: 305640
 - 0 0 - Unknown
First Titan Financial Corp.
CRD: 39657
 - 4 0 C INACTIVE
First Trust Advisors LP
CRD: 107027
 - 0 369 - Unknown
First Trust Capital Management L.P.
CRD: 317825
 - 0 1 - Unknown
First Trust Direct Indexing
CRD: 297760
 - 0 0 - Unknown
First Trust Global Portfolios Ltd.
CRD: 169173
 - 0 0 - Unknown
First Trust Investment Solutions L.P.
CRD: 328327
 - 0 0 - Unknown
First Trust Portfolios L.P.
CRD: 28519
 IL 4 5 C Active
Page 536 of 1601 (80,028 total)
← Prev Next →