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.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Firstmark Investor Services, Inc. CRD: 13857 | - | 0 | 0 | A | INACTIVE |
| Firstmark Securities, Inc. CRD: 13184 | - | 0 | 0 | A | INACTIVE |
| Firstmerit Financial Services, Inc CRD: 149680 | - | 0 | 0 | A | INACTIVE |
| Firstmerit Securities, Inc. CRD: 35057 | - | 0 | 0 | A | INACTIVE |
| Firstmetric CRD: 289483 | - | 0 | 1 | - | Unknown |
| Firstmile Ventures, LLC CRD: 311699 | - | 0 | 1 | - | Unknown |
| Firstminute Capital LLP CRD: 305960 | - | 0 | 0 | - | Unknown |
| Firstmoney Securities Corporation CRD: 18220 | - | 0 | 0 | A | INACTIVE |
| Firstpathway Partners LLC CRD: 163801 | - | 0 | 0 | - | Unknown |
| Firstpenn Capital Corporation CRD: 23126 | - | 0 | 0 | A | INACTIVE |
| Firstpoint Financial, LLC CRD: 175252 | - | 0 | 0 | - | Unknown |
| Firstrade Advisor, LLC CRD: 282937 | - | 0 | 0 | - | Unknown |
| Firstrade Securities Inc. CRD: 16843 | NY | 9 | 4 | C | Active |
| Firstrock Advisory CRD: 288884 | - | 0 | 0 | - | Unknown |
| Firstrust CRD: 111800 | - | 0 | 6 | - | Unknown |
| Firstrust Financial Advisors CRD: 131620 | - | 0 | 1 | - | Unknown |
| Firstsight, LLC CRD: 116967 | - | 0 | 0 | A | INACTIVE |
| Firstten Financial CRD: 338807 | - | 0 | 1 | - | Unknown |
| Firsttrust Money Services, Inc. CRD: 17744 | - | 0 | 0 | A | INACTIVE |
| Firstwave Financial CRD: 111044 | - | 0 | 0 | - | Unknown |
| FIS Brokerage & Securities Services LLC CRD: 104162 | IL | 23 | 3 | D | Active |
| FIS Financial Strategies LLC CRD: 173244 | - | 0 | 0 | - | Unknown |
| FIS Securities, Inc. CRD: 30533 | - | 1 | 0 | B | INACTIVE |
| Fisai US Management LLC CRD: 328574 | - | 0 | 0 | - | Unknown |
| Fiscal Dynamics Incorporated CRD: 111155 | - | 0 | 3 | - | Unknown |
| Fiscal Fitness Clubs CRD: 269996 | - | 0 | 0 | - | Unknown |
| Fiscal Fitness, LLC CRD: 283599 | - | 0 | 0 | - | Unknown |
| Fiscal Fitness, LLC CRD: 140148 | - | 0 | 1 | - | Unknown |
| Fiscal Wisdom Wealth Management LLC CRD: 168299 | - | 0 | 11 | - | Unknown |
| Fiscalis Advisory, Inc. CRD: 126934 | - | 0 | 2 | - | Unknown |
| Fiscalwise, Inc. CRD: 121476 | - | 0 | 1 | - | Unknown |
| Fischer & Co., LP CRD: 131352 | - | 0 | 0 | - | Unknown |
| Fischer Advisors LLC CRD: 333508 | - | 0 | 2 | - | Unknown |
| Fischer Financial Services Inc CRD: 104616 | - | 0 | 3 | - | Unknown |
| Fischer Investment Group, Inc. CRD: 110966 | - | 0 | 1 | - | Unknown |
| Fischer Johnson, Incorporated CRD: 7412 | - | 0 | 0 | A | INACTIVE |
| Fischer Wealth Advisors, LLC CRD: 281113 | - | 0 | 1 | - | Unknown |
| Fischer, Robert Bruce CRD: 32484 | - | 0 | 0 | A | INACTIVE |
| Fiscl Securities, Inc. CRD: 22867 | - | 0 | 0 | A | INACTIVE |
| Fisco Equity, Inc. CRD: 24067 | - | 4 | 0 | C | INACTIVE |
| Fiserv Chicago Clearance & Execution, Inc. CRD: 103726 | - | 0 | 0 | A | INACTIVE |
| Fiserv Correspondent Services, Inc. CRD: 29273 | - | 6 | 0 | C | INACTIVE |
| Fiserv Execution Services, Inc. CRD: 35497 | - | 0 | 0 | A | INACTIVE |
| Fiserv Financial Services, LLC CRD: 133483 | - | 0 | 0 | A | INACTIVE |
| Fiserv Investor Services, Inc. CRD: 34637 | - | 8 | 0 | D | INACTIVE |
| Fish Advisory, LLC CRD: 312080 | - | 0 | 1 | - | Unknown |
| Fish Creek Value Management, LLC CRD: 291643 | - | 0 | 1 | - | Unknown |
| Fisher & Wiens Wealth Management, LLC CRD: 286079 | - | 0 | 2 | - | Unknown |
| Fisher Advisors - Real Estate Investment Services … CRD: 153923 | - | 0 | 0 | - | Unknown |
| Fisher Financial Advisors LLC CRD: 289411 | - | 0 | 0 | - | Unknown |