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 |
|---|---|---|---|---|---|
| Four Five Seven PCP, LLC CRD: 326898 | - | 0 | 0 | - | Unknown |
| Four Iron Management LLC CRD: 333174 | - | 0 | 1 | - | Unknown |
| Four Lion Capital, LP CRD: 333602 | - | 0 | 1 | - | Unknown |
| Four Mountains CRD: 296803 | - | 0 | 1 | - | Unknown |
| Four Oaks Capital Management,LLC CRD: 124545 | - | 0 | 0 | - | Unknown |
| Four Peaks Planning and Investments LLC CRD: 305739 | - | 0 | 2 | - | Unknown |
| Four Pines Financial CRD: 338709 | - | 0 | 1 | - | Unknown |
| Four Points Advisors, LLC CRD: 171720 | - | 0 | 11 | - | Unknown |
| Four Points Capital LLC CRD: 328593 | - | 0 | 1 | - | Unknown |
| Four Points Capital Partners LLC CRD: 43149 | NJ | 1 | 8 | B | Active |
| Four Ponds Financial Planning CRD: 142683 | - | 0 | 0 | - | Unknown |
| Four Quadrant Wealth Advisors, Inc. CRD: 130753 | - | 0 | 3 | - | Unknown |
| Four Quarters Capital CRD: 333753 | - | 0 | 1 | - | Unknown |
| Four Rivers Financial, LLC CRD: 327091 | - | 0 | 0 | - | Unknown |
| Four Rivers Group CRD: 163233 | - | 0 | 1 | - | Unknown |
| Four Rivers Managers LLC CRD: 307827 | - | 0 | 1 | - | Unknown |
| Four Seasons Investment Advisors, Inc. CRD: 132375 | - | 0 | 2 | - | Unknown |
| Four Seasons Investment Management, Inc. CRD: 114958 | - | 0 | 2 | - | Unknown |
| Four Seasons Securities, Inc. CRD: 24586 | - | 0 | 0 | A | INACTIVE |
| Four Seasons Securities, Inc. CRD: 44468 | - | 0 | 0 | A | INACTIVE |
| Four Town Financial LLC CRD: 322819 | - | 0 | 0 | - | Unknown |
| Four Tree Island Advisory LLC CRD: 158851 | - | 0 | 1 | - | Unknown |
| Four Wood Capital Advisors CRD: 165047 | - | 0 | 0 | - | Unknown |
| Four10 Planning CRD: 324385 | - | 0 | 1 | - | Unknown |
| Fourbridge Partners, LLC CRD: 307651 | - | 0 | 1 | - | Unknown |
| Fourbridges Financial Group, Inc. CRD: 291985 | - | 0 | 0 | - | Unknown |
| Fourbridges Securities, LLC CRD: 150806 | TN | 0 | 2 | A | Active |
| Fourfront Advisors, LLC CRD: 121378 | - | 0 | 0 | - | Unknown |
| Fournorth Capital LLC CRD: 340927 | - | 0 | 1 | - | Unknown |
| Fourpark Advisors, LLC CRD: 304717 | - | 0 | 1 | - | Unknown |
| Fourpath Capital Management, LLC CRD: 313573 | - | 0 | 1 | - | Unknown |
| Fourpoint Capital CRD: 168575 | - | 0 | 0 | - | Unknown |
| Fourpoints Investment Managers S.A.S CRD: 164612 | - | 0 | 0 | - | Unknown |
| Foursight Capital Partners CRD: 322103 | - | 0 | 0 | - | Unknown |
| Foursixthree Capital LP CRD: 311299 | - | 0 | 1 | - | Unknown |
| Fourstar Wealth Advisors, LLC CRD: 169613 | - | 0 | 34 | - | Unknown |
| Fourteen Capital, LP CRD: 298781 | - | 0 | 1 | - | Unknown |
| Fourth Dimension Capital Partners, LLC CRD: 164237 | - | 0 | 0 | - | Unknown |
| Fourth Dimension Financial Group CRD: 156733 | - | 0 | 1 | - | Unknown |
| Fourth Dimension Wealth, LLC CRD: 306703 | - | 0 | 4 | - | Unknown |
| Fourth Quadrant Asset Management LLC CRD: 154090 | - | 0 | 0 | - | Unknown |
| Fourth Quarter Retirement Strategies, LLC CRD: 307395 | - | 0 | 1 | - | Unknown |
| Fourth Realm LLC CRD: 315192 | - | 0 | 1 | - | Unknown |
| Fourth Revolution Capital LLC CRD: 311262 | - | 0 | 1 | - | Unknown |
| Fourth Sail Capital US LP CRD: 332445 | - | 0 | 1 | - | Unknown |
| Fourth Street Financial Group, Inc. CRD: 29704 | - | 1 | 0 | B | INACTIVE |
| Fourth Street Performance Partners, Inc. CRD: 107339 | - | 0 | 0 | - | Unknown |
| Fourth Wall Advisors LLC CRD: 336495 | - | 0 | 1 | - | Unknown |
| Fourthought Financial Partners, LLC. CRD: 323060 | - | 0 | 5 | - | Unknown |
| Fourthought Private Wealth CRD: 306017 | - | 0 | 0 | - | Unknown |