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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Alliance Private Wealth, LLC
CRD: 316612
 - 0 3 - Unknown
Alliance Securities Corp.
CRD: 42395
 - 0 0 A INACTIVE
Alliance Securities Corporation
CRD: 15468
 - 0 0 A INACTIVE
Alliance Ventures LLC
CRD: 299517
 - 0 1 - Unknown
Alliance Warburg Global Financial Services, Inc.
CRD: 43979
 - 0 0 A INACTIVE
Alliance Wealth Advisors
CRD: 156712
 - 0 1 - Unknown
Alliance Wealth Advisors, LLC
CRD: 288394
 - 0 1 - Unknown
Alliance Wealth Advisors, LLC
CRD: 314668
 - 0 1 - Unknown
Alliance Wealth Management Milwaukee, Inc.
CRD: 143387
 - 0 1 - Unknown
Alliance-ONE Investments, LLC
CRD: 286025
 OK 0 2 A Active
Alliancebernstein Global Derivatives Corporation
CRD: 107439
 - 0 0 - Unknown
Alliancebernstein Holding L.P.
CRD: 106998
 - 0 1 - Unknown
Alliancebernstein Investments, Inc.
CRD: 14549
 TN 5 6 C Active
Alliancebernstein L.P.
CRD: 108477
 - 0 611 - Unknown
Alliant Equity Investments, LLC
CRD: 104386
 - 0 0 A INACTIVE
Alliant Retirement Consulting
CRD: 167970
 - 0 38 - Unknown
Alliant Securities, Inc. Turner, Nord, Kienbaum
CRD: 7726
 WA 2 3 B Active
Alliant Wealth Advisors
CRD: 116360
 - 0 0 - Unknown
Allianz Capital Partners GMBH
CRD: 338726
 - 0 0 - Unknown
Allianz Capital Partners of America LLC
CRD: 161684
 - 0 1 - Unknown
Allianz Global Investors Asia Pacific Limited
CRD: 289358
 - 0 0 - Unknown
Allianz Global Investors Distributors LLC
CRD: 25567
 - 4 0 C INACTIVE
Allianz Global Investors U.S. LLC
CRD: 149003
 - 0 0 - Unknown
Allianz Investment Management LLC
CRD: 111925
 - 0 1 - Unknown
Allianz Life Financial Services, LLC
CRD: 612
 MN 1 2 C Active
Allie Family Office LLC
CRD: 307144
 - 0 1 - Unknown
Allied Advisors Investment Management Firm
CRD: 310104
 - 0 0 - Unknown
Allied Asset Advisors Inc
CRD: 112441
 - 0 1 - Unknown
Allied Asset Management, Inc.
CRD: 16403
 - 0 0 A INACTIVE
Allied Atma Ventures, LLC
CRD: 305650
 - 0 1 - Unknown
Allied Beacon Partners, Inc.
CRD: 46227
 - 8 0 D INACTIVE
Allied Capital Group, Inc.
CRD: 13146
 - 0 0 A INACTIVE
Allied Capital Group, LLC
CRD: 286439
 - 0 2 - Unknown
Allied Capital, Inc.
CRD: 25975
 - 0 0 A INACTIVE
Allied Equity Group, a Financial Services Corporat…
CRD: 15811
 - 0 0 A INACTIVE
Allied Equity Investments, Inc.
CRD: 16370
 - 0 0 A INACTIVE
Allied Group Securities Corporation
CRD: 3638
 - 0 0 A INACTIVE
Allied Investment Advisors LLC
CRD: 159103
 - 0 6 - Unknown
Allied Investment Services, Inc.
CRD: 25310
 - 0 0 A INACTIVE
Allied Investments
CRD: 314512
 - 0 1 - Unknown
Allied Millennial Partners, LLC
CRD: 16569
 NY 6 4 B Active
Allied OAK Wealth, LLC
CRD: 340406
 - 0 1 - Unknown
Allied Private Wealth
CRD: 328952
 - 0 1 - Unknown
Allied Realty Advisors IV, LLC
CRD: 327961
 - 0 1 - Unknown
Allied Realty Advisors, LLC
CRD: 174825
 - 0 0 - Unknown
Allied Research Services, Inc.
CRD: 13588
 - 0 0 A INACTIVE
Allied Securities Corporation
CRD: 7869
 - 0 0 A INACTIVE
Allied Value, LLC
CRD: 153965
 - 0 2 - Unknown
Allied WAI Feng Securities, Inc.
CRD: 13602
 - 0 0 A INACTIVE
Allies Wealth Management
CRD: 309339
 - 0 0 - Unknown
Page 58 of 1601 (80,028 total)
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