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 |
|---|---|---|---|---|---|
| Gahl & Schwartz Inc CRD: 34326 | - | 0 | 0 | A | INACTIVE |
| Gahl, Frederick Allen CRD: 39353 | - | 1 | 0 | B | INACTIVE |
| Gahler Financial CRD: 292785 | - | 0 | 0 | - | Unknown |
| Gaia Capital Management, Inc. CRD: 134697 | - | 0 | 0 | - | Unknown |
| Gaiacorp Securities, Inc. CRD: 26658 | - | 0 | 0 | A | INACTIVE |
| Gaich and Company, Inc. CRD: 12979 | - | 0 | 0 | A | INACTIVE |
| Gain Line Capital Management CRD: 325793 | - | 0 | 0 | - | Unknown |
| Gain Securities CRD: 16203 | - | 3 | 0 | C | INACTIVE |
| Gaines Capital Management CRD: 335414 | - | 0 | 2 | - | Unknown |
| Gaines Financial Corporation CRD: 5391 | - | 0 | 0 | A | INACTIVE |
| Gaines Financial Group CRD: 157037 | - | 0 | 0 | - | Unknown |
| Gaines, John Andrew CRD: 135700 | - | 0 | 2 | - | Unknown |
| Gaineswood Investment Management, Inc. CRD: 121715 | - | 0 | 0 | - | Unknown |
| Gainey Financial Services, Inc. CRD: 27968 | - | 11 | 0 | D | INACTIVE |
| Gaingels 10X Capital Diversity Management LLC CRD: 319530 | - | 0 | 1 | - | Unknown |
| Gaingels Management LLC CRD: 317100 | - | 0 | 1 | - | Unknown |
| Gaingels Ventures LLC CRD: 317099 | - | 0 | 1 | - | Unknown |
| Gainline Capital Partners LP CRD: 285325 | - | 0 | 1 | - | Unknown |
| Gainline Financial Partners, LLC CRD: 326716 | - | 0 | 1 | - | Unknown |
| Gainplan LLC CRD: 174427 | - | 0 | 2 | - | Unknown |
| Gainsborough Capital, LLC CRD: 136722 | - | 0 | 0 | - | Unknown |
| Gainspoletti Wealth Planners CRD: 333768 | - | 0 | 2 | - | Unknown |
| Gainstra Capital Inc. CRD: 341086 | - | 0 | 1 | - | Unknown |
| Gainvest CRD: 301090 | - | 0 | 0 | - | Unknown |
| Gainy, Inc. CRD: 314696 | - | 0 | 0 | - | Unknown |
| Gaja Advisors Ltd CRD: 172836 | - | 0 | 0 | - | Unknown |
| Gaja Advisors Ltd CRD: 316296 | - | 0 | 0 | - | Unknown |
| Gaja Capital CRD: 316417 | - | 0 | 0 | - | Unknown |
| Gajardo Wealth Management LLC CRD: 330711 | - | 0 | 1 | - | Unknown |
| Galago Tactical Analytics LLC CRD: 343031 | - | 0 | 1 | - | Unknown |
| Galant Securities, Inc. CRD: 15640 | - | 0 | 0 | A | INACTIVE |
| Galapagos Advisors, LLC CRD: 129490 | - | 0 | 0 | - | Unknown |
| Galapagos Advisory LLC CRD: 322042 | - | 0 | 1 | - | Unknown |
| Galapagos Global Capital Management LLC CRD: 326890 | - | 0 | 1 | - | Unknown |
| Galapagos Wealth Management, LLC CRD: 139856 | - | 0 | 0 | - | Unknown |
| Galaria Capital Management, LLC CRD: 123658 | - | 0 | 1 | - | Unknown |
| Galarno Company, Ltd. CRD: 115678 | - | 0 | 0 | - | Unknown |
| Galaxy Digital Capital Management LP CRD: 293908 | - | 0 | 1 | - | Unknown |
| Galaxy Digital Partners LLC CRD: 289605 | NY | 0 | 2 | A | Active |
| Galaxy Global Capital Management, LLC CRD: 310874 | - | 0 | 0 | - | Unknown |
| Galaxy Investment Management, LLC CRD: 281589 | - | 0 | 1 | - | Unknown |
| Galaxy Management, LLC CRD: 319064 | - | 0 | 0 | - | Unknown |
| Galaxy Muse CRD: 319293 | - | 0 | 0 | - | Unknown |
| Galaxy Quant Capital LLC CRD: 341859 | - | 0 | 1 | - | Unknown |
| Galaxy Securities, LLC CRD: 330599 | NY | 0 | 2 | A | Active |
| Galaxy Wealth Management, LLC CRD: 334516 | - | 0 | 1 | - | Unknown |
| Galberaith and Associates Investments CRD: 13032 | - | 0 | 0 | A | INACTIVE |
| Galbraith Reynolds & Company CRD: 17417 | - | 0 | 0 | A | INACTIVE |
| Galbreath Equities, Inc. CRD: 15479 | - | 0 | 0 | A | INACTIVE |
| Gale L. Smith & Company, Inc. CRD: 117594 | - | 0 | 0 | - | Unknown |