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 Trust Securities of California, Inc.
CRD: 25704
 - 0 0 A INACTIVE
First Trust Securities of Iowa, Ltd.
CRD: 16042
 - 0 0 A INACTIVE
First Tryon Advisors
CRD: 332377
 - 0 1 - Unknown
First Tryon Securities, Inc.
CRD: 17648
 - 0 0 A INACTIVE
First Tryon Securities, LLC
CRD: 7336
 NC 1 3 B Active
First Turn Management, LLC
CRD: 327421
 - 0 1 - Unknown
First Turn Securities LLC
CRD: 331300
 OK 0 2 A Active
First Union Brokerage Services, Inc.
CRD: 8112
 - 20 0 F INACTIVE
First Union Capital Markets Corp.
CRD: 6124
 - 22 0 F INACTIVE
First Union Capital Markets Corp.
CRD: 19002
 - 0 0 A INACTIVE
First Union Placements, Inc.
CRD: 11754
 - 0 0 A INACTIVE
First Union Securities Inc
CRD: 15001
 - 0 0 A INACTIVE
First Union Securities, Inc.
CRD: 129502
 - 6 0 D INACTIVE
First United Equities Corporation
CRD: 36398
 - 0 0 A INACTIVE
First United Equity Ventures, Inc.
CRD: 13518
 - 0 0 A INACTIVE
First United Fund,Ltd.
CRD: 14426
 - 0 0 A INACTIVE
First United Legacy Advisors
CRD: 324254
 - 0 0 - Unknown
First United Securities Corporation
CRD: 10286
 - 0 0 A INACTIVE
First United Securities Group of California
CRD: 10619
 - 0 0 A INACTIVE
First USA Capital Markets, Inc.
CRD: 10742
 - 0 0 A INACTIVE
First Vantage Investments LLC
CRD: 34485
 - 0 0 A INACTIVE
First Variable Capital Services, Inc.
CRD: 30007
 - 1 0 B INACTIVE
First Virginia Financial Corporation
CRD: 17829
 - 0 0 A INACTIVE
First Virginia Investment Corporation
CRD: 16869
 - 0 0 A INACTIVE
First Wall Street Corp.
CRD: 13024
 - 10 0 D INACTIVE
First Wall Street Securities of NEW York Inc.
CRD: 34987
 - 0 0 A INACTIVE
First Wall Street Securities of NEW York, Inc.
CRD: 18304
 - 0 0 A INACTIVE
First Washington Corporation
CRD: 6681
 - 0 2 A INACTIVE
First Wealth Advisory, Inc.
CRD: 323649
 - 0 1 - Unknown
First Westchester Securities
CRD: 23484
 - 0 0 A INACTIVE
First Western Advisors
CRD: 13623
 - 1 0 B INACTIVE
First Western Brokers, Inc.
CRD: 14005
 - 0 0 A INACTIVE
First Western Capital Management Company
CRD: 152982
 - 0 0 - Unknown
First Western Securities of Wyoming, Inc.
CRD: 1948
 - 0 0 A INACTIVE
First Western Securities, Inc.
CRD: 19537
 TX 5 13 B Active
First Wheaton Securities Corp.
CRD: 16862
 - 0 0 A INACTIVE
First Williston Corporation
CRD: 1864
 - 0 0 A INACTIVE
First Wilshire Securities, Inc.
CRD: 6609
 - 17 0 F INACTIVE
First Winston Securities, Inc.
CRD: 21538
 - 3 0 C INACTIVE
First World Securities, Inc.
CRD: 16731
 - 0 0 A INACTIVE
First-in Financial
CRD: 290128
 - 0 0 - Unknown
First-MED Investment Corp.
CRD: 27874
 - 0 0 A INACTIVE
Firstadvisor, LLC
CRD: 135764
 - 0 0 - Unknown
Firstar Investment Services,Inc.
CRD: 14536
 - 0 0 A INACTIVE
Firstenergy Capital (USA) Corp.
CRD: 37665
 - 0 0 A INACTIVE
Firstgen Wealth
CRD: 319368
 - 0 1 - Unknown
Firsthand Capital Management, Inc.
CRD: 150647
 - 0 1 - Unknown
Firstier Securities, Inc.
CRD: 17714
 - 0 0 A INACTIVE
Firstline Financial LLC
CRD: 308056
 - 0 1 - Unknown
Firstmark Capital, LLC
CRD: 162883
 - 0 1 - Unknown
Page 537 of 1601 (80,028 total)
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