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 |
|---|---|---|---|---|---|
| Galleher & Company, Inc. CRD: 1957 | - | 0 | 0 | A | INACTIVE |
| Galleon Investment Advisors LLC CRD: 321792 | - | 0 | 0 | - | Unknown |
| Galleon Wealth Advisors LLC CRD: 337893 | - | 0 | 1 | - | Unknown |
| Galleria Financial Advisors, LLC CRD: 133673 | - | 0 | 3 | - | Unknown |
| Galleria Securities Corporation CRD: 13943 | - | 0 | 0 | A | INACTIVE |
| Galliard Capital Management CRD: 106487 | - | 0 | 1 | - | Unknown |
| Galligan Financial Advisors CRD: 115334 | - | 0 | 2 | - | Unknown |
| Galliott Capital Advisors, LLC CRD: 313094 | - | 0 | 1 | - | Unknown |
| Gallo & Russell CRD: 124923 | - | 0 | 0 | - | Unknown |
| Gallo Lupo LLC CRD: 323381 | - | 0 | 1 | - | Unknown |
| Gallo Partners LP CRD: 329774 | - | 0 | 1 | - | Unknown |
| Gallon Securities Company, Inc. CRD: 1954 | - | 0 | 0 | A | INACTIVE |
| Galloway Capital Management Ltd. CRD: 165717 | - | 0 | 0 | - | Unknown |
| Galloway Gestora DE Recursos Ltda CRD: 171212 | - | 0 | 0 | - | Unknown |
| Galloway Professional Brokerage Services Corporati… CRD: 14238 | - | 0 | 0 | A | INACTIVE |
| Gallugi Wealth Management, LLC CRD: 172748 | - | 0 | 1 | - | Unknown |
| Gallup Wealth Consulting, LLC CRD: 304997 | - | 0 | 0 | - | Unknown |
| Galnet Asset Management, LLC CRD: 163467 | - | 0 | 1 | - | Unknown |
| Galois Capital Management LLC CRD: 300245 | - | 0 | 0 | - | Unknown |
| Galstian, Shahe CRD: 281861 | - | 0 | 1 | - | Unknown |
| Galt Financial Group, Inc. CRD: 146976 | CA | 0 | 2 | A | Active |
| Galt Global Capital Inc. CRD: 163372 | - | 0 | 0 | - | Unknown |
| Galt Investment Management LLC CRD: 162578 | - | 0 | 0 | - | Unknown |
| Galt Securities, Inc. CRD: 21884 | - | 0 | 0 | A | INACTIVE |
| Galtere Inc. CRD: 175107 | - | 0 | 0 | - | Unknown |
| Galtney Capital LLC CRD: 288744 | - | 0 | 1 | - | Unknown |
| Galton Asset Management, LLC CRD: 154521 | - | 0 | 0 | - | Unknown |
| Galvanic Investments CRD: 322666 | - | 0 | 0 | - | Unknown |
| Galvanize Climate Solutions LLC CRD: 316994 | - | 0 | 1 | - | Unknown |
| Galvanize Wealth LLC CRD: 306256 | - | 0 | 1 | - | Unknown |
| Galven Capital Management, LLC CRD: 304843 | - | 0 | 0 | - | Unknown |
| Galvez Capital, LLC CRD: 322045 | - | 0 | 0 | - | Unknown |
| Galvez Financial LLC CRD: 334391 | - | 0 | 1 | - | Unknown |
| Galvin, Gaustad & Stein, LLC CRD: 153410 | - | 0 | 17 | - | Unknown |
| Galway Capital, L.L.C. CRD: 38563 | - | 0 | 0 | A | INACTIVE |
| Galway Capital, L.P. CRD: 43888 | - | 0 | 0 | A | INACTIVE |
| Galway Securities Corporation CRD: 33211 | - | 1 | 0 | B | INACTIVE |
| GAM London Limited CRD: 110670 | - | 0 | 0 | - | Unknown |
| GAM Services, Inc. CRD: 25631 | - | 0 | 0 | A | INACTIVE |
| GAM Systematic LLP CRD: 287540 | - | 0 | 0 | - | Unknown |
| GAM USA Inc. CRD: 110458 | - | 0 | 1 | - | Unknown |
| Gama Global Investments, LLC CRD: 147282 | - | 0 | 0 | A | INACTIVE |
| Gama Wealth Management, LLC CRD: 181513 | - | 0 | 0 | - | Unknown |
| Gama Wealth Management, LLC CRD: 304755 | - | 0 | 3 | - | Unknown |
| Gambit Asset Management CRD: 299494 | - | 0 | 0 | - | Unknown |
| Gambit Asset Management CRD: 316342 | - | 0 | 2 | - | Unknown |
| Gambit Capital LLC CRD: 338058 | - | 0 | 0 | - | Unknown |
| Gambit Capital Management, LLC CRD: 318313 | - | 0 | 6 | - | Unknown |
| Gambit Securities, Inc. CRD: 149584 | - | 0 | 0 | - | Unknown |
| Gamble Capital Strategies CRD: 137573 | - | 0 | 3 | - | Unknown |