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 |
|---|---|---|---|---|---|
| Allegory Advisors, LLC CRD: 318809 | - | 0 | 1 | - | Unknown |
| Allegory Advisory CRD: 173871 | - | 0 | 1 | - | Unknown |
| Allegro Funds PTY Ltd CRD: 290709 | - | 0 | 0 | - | Unknown |
| Allegro Mineral Partners LLC CRD: 324740 | - | 0 | 1 | - | Unknown |
| Allegro Securities LLC CRD: 139514 | TX | 0 | 1 | A | Active |
| Allele Investments LLC CRD: 162787 | - | 0 | 0 | - | Unknown |
| Alleluia Financial LLC CRD: 287864 | - | 0 | 0 | - | Unknown |
| Allen & Company CRD: 26 | - | 0 | 0 | A | INACTIVE |
| Allen & Company LLC CRD: 1042 | NY | 14 | 2 | D | Active |
| Allen & Company of Florida, LLC CRD: 25 | - | 4 | 0 | C | INACTIVE |
| Allen & Pierce Securities Inc. CRD: 23946 | - | 1 | 0 | B | INACTIVE |
| Allen a. Buchalter Associates,Inc. CRD: 13287 | - | 0 | 0 | A | INACTIVE |
| Allen C. Ewing & Co. CRD: 17991 | - | 0 | 0 | A | INACTIVE |
| Allen C. Ewing & Co. CRD: 26102 | - | 10 | 0 | D | INACTIVE |
| Allen Capital Group, LLC CRD: 135879 | - | 0 | 9 | - | Unknown |
| Allen Douglas Securities, Inc. CRD: 42410 | - | 9 | 0 | D | INACTIVE |
| Allen Financial Advisement, Inc. CRD: 337542 | - | 0 | 1 | - | Unknown |
| Allen Financial Group CRD: 316001 | - | 0 | 0 | - | Unknown |
| Allen Financial Management CRD: 153511 | - | 0 | 1 | - | Unknown |
| Allen Global Securities LLC CRD: 104354 | - | 0 | 0 | A | INACTIVE |
| Allen Hart Securities Co. CRD: 16192 | - | 0 | 0 | A | INACTIVE |
| Allen Investment Advisor Services CRD: 113149 | - | 0 | 0 | - | Unknown |
| Allen James Financial LLC CRD: 315518 | - | 0 | 1 | - | Unknown |
| Allen Sumida CRD: 135937 | - | 0 | 0 | - | Unknown |
| Allen Wealth Advisors CRD: 310105 | - | 0 | 1 | - | Unknown |
| Allen Wealth Management, LLC CRD: 133038 | - | 0 | 2 | - | Unknown |
| Allen, Mooney & Barnes Brokerage Services, LLC CRD: 142619 | GA | 0 | 5 | A | Active |
| Allenton Securities, Inc. CRD: 17115 | - | 0 | 0 | A | INACTIVE |
| Alleran Financial Services CRD: 129107 | - | 0 | 0 | - | Unknown |
| Allerfund Ventures, LLC CRD: 336235 | - | 0 | 1 | - | Unknown |
| Alles Investments, Inc. CRD: 26860 | - | 2 | 0 | B | INACTIVE |
| Allevid, Inc. CRD: 310745 | - | 0 | 1 | - | Unknown |
| Allevid, Incorporated CRD: 172957 | - | 0 | 0 | - | Unknown |
| Alley Company CRD: 317544 | - | 0 | 1 | - | Unknown |
| Alley Company, LLC CRD: 112702 | - | 0 | 0 | - | Unknown |
| Alleycorp Advisers, LLC CRD: 328257 | - | 0 | 1 | - | Unknown |
| Allfirst Brokerage Corporation CRD: 17531 | - | 3 | 0 | C | INACTIVE |
| Allgeier Investor Services, Inc. CRD: 38248 | - | 0 | 0 | A | INACTIVE |
| Allgen Financial Advisors, Inc. CRD: 126877 | - | 0 | 2 | - | Unknown |
| Allgood Financial Advisory CRD: 126613 | - | 0 | 0 | - | Unknown |
| Alliance Advisors Wealth Management LLC CRD: 305397 | - | 0 | 1 | - | Unknown |
| Alliance Advisory & Securities, Inc. CRD: 18835 | - | 2 | 2 | B | INACTIVE |
| Alliance Affiliated Equities Corporation CRD: 23928 | - | 1 | 0 | B | INACTIVE |
| Alliance Asset Group,Inc. CRD: 18050 | - | 0 | 0 | A | INACTIVE |
| Alliance Consumer Growth, LLC CRD: 163639 | - | 0 | 1 | - | Unknown |
| Alliance Equities, Inc. CRD: 10093 | - | 0 | 0 | A | INACTIVE |
| Alliance Financial CRD: 319679 | - | 0 | 4 | - | Unknown |
| Alliance Financial Advisors Group CRD: 117881 | - | 0 | 0 | - | Unknown |
| Alliance Financial Group, Inc. CRD: 28538 | - | 0 | 0 | A | INACTIVE |
| Alliance Partners LLC CRD: 157700 | - | 0 | 1 | - | Unknown |