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 |
|---|---|---|---|---|---|
| Five Eleven Family Office LLC CRD: 334002 | - | 0 | 2 | - | Unknown |
| Five Elms Capital CRD: 163548 | - | 0 | 1 | - | Unknown |
| Five Factor Capital Advisors CRD: 164516 | - | 0 | 1 | - | Unknown |
| Five Factor Wealth CRD: 317074 | - | 0 | 0 | - | Unknown |
| Five Financial Planning, LLC CRD: 288995 | - | 0 | 0 | - | Unknown |
| Five Freedoms Firm CRD: 329440 | - | 0 | 0 | - | Unknown |
| Five Keys Private Advisors LLC CRD: 335228 | - | 0 | 1 | - | Unknown |
| Five Lakes Advisory LLC CRD: 339766 | - | 0 | 1 | - | Unknown |
| Five Mile Capital Partners LLC CRD: 161736 | - | 0 | 0 | - | Unknown |
| Five Mile Capital Securities LLC CRD: 115514 | - | 0 | 0 | A | INACTIVE |
| Five Mile River Investment Management, LLC CRD: 125964 | - | 0 | 4 | - | Unknown |
| Five Nations Capital Group CRD: 309493 | - | 0 | 0 | - | Unknown |
| Five Oaks Advisory LLC CRD: 291600 | - | 0 | 0 | - | Unknown |
| Five Oceans Advisors CRD: 308377 | - | 0 | 2 | - | Unknown |
| Five Peaks Financial Consulting, Inc. CRD: 115341 | - | 0 | 2 | - | Unknown |
| Five Pine Wealth CRD: 317657 | - | 0 | 1 | - | Unknown |
| Five Point Infrastructure LLC CRD: 171158 | - | 0 | 2 | - | Unknown |
| Five Point Investments CRD: 336858 | - | 0 | 1 | - | Unknown |
| Five Points Capital LLC CRD: 160792 | - | 0 | 1 | - | Unknown |
| Five Rivers Financial Advisors, LLC CRD: 120249 | - | 0 | 2 | - | Unknown |
| Five Roads Capital Management, LLC CRD: 288508 | - | 0 | 0 | - | Unknown |
| Five Seasons Financial Planning LLC CRD: 130766 | - | 0 | 0 | - | Unknown |
| Five Star Investment Services, Inc. CRD: 101840 | - | 0 | 0 | A | INACTIVE |
| Five Star Resources, Inc. CRD: 30414 | - | 0 | 0 | A | INACTIVE |
| Five States Capital Resources Limited CRD: 313149 | - | 0 | 0 | - | Unknown |
| Five Stone Capital, LLC CRD: 133190 | - | 0 | 1 | - | Unknown |
| Five Talent Capital Management LLC CRD: 163022 | - | 0 | 0 | - | Unknown |
| Five Talents Financial Management Group LLC CRD: 307987 | - | 0 | 2 | - | Unknown |
| Five Talents Management, LLC CRD: 311612 | - | 0 | 0 | - | Unknown |
| Five Talents Wealth Management CRD: 154142 | - | 0 | 2 | - | Unknown |
| Five X Securities, LLC CRD: 8193 | - | 7 | 0 | D | INACTIVE |
| Five8 Financial LLC CRD: 339260 | - | 0 | 1 | - | Unknown |
| Fiveas Group LLC CRD: 297448 | - | 0 | 0 | - | Unknown |
| Fivenca Asset Management CRD: 288527 | - | 0 | 2 | - | Unknown |
| Fives Capital, LLC CRD: 289747 | - | 0 | 0 | A | INACTIVE |
| Fivespan Partners, LP CRD: 332551 | - | 0 | 1 | - | Unknown |
| Fivew Capital LLC CRD: 298157 | - | 0 | 0 | - | Unknown |
| Fiwheels CRD: 333225 | - | 0 | 1 | - | Unknown |
| Fixcenter, LLC CRD: 153759 | - | 1 | 0 | B | INACTIVE |
| Fixed Income Capital Partners, LLC CRD: 123001 | - | 0 | 0 | A | INACTIVE |
| Fixed Income Securities, Inc. CRD: 14279 | - | 0 | 0 | A | INACTIVE |
| Fixmaster BD, LLC CRD: 125364 | - | 0 | 0 | A | INACTIVE |
| Fizone CRD: 123073 | - | 0 | 0 | - | Unknown |
| Fizyx, LLC CRD: 310698 | - | 0 | 0 | - | Unknown |
| FJ Capital Management LLC CRD: 158049 | - | 0 | 1 | - | Unknown |
| FJ Labs Management LP CRD: 312920 | - | 0 | 1 | - | Unknown |
| FJ Labs Management, LLC CRD: 283062 | - | 0 | 0 | - | Unknown |
| FJ Labs, Inc. CRD: 285706 | - | 0 | 0 | - | Unknown |
| FJ Shaw Wealth Management LLC CRD: 328659 | - | 0 | 0 | - | Unknown |
| Fjaka Wealth Management LLC CRD: 340753 | - | 0 | 1 | - | Unknown |