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 |
|---|---|---|---|---|---|
| Gamble Jones Investment Counsel CRD: 107158 | - | 0 | 0 | - | Unknown |
| Gamboa Capital Management Inc. CRD: 110201 | - | 0 | 1 | - | Unknown |
| Gamco Asset Management Inc. CRD: 104950 | - | 0 | 6 | - | Unknown |
| Gamco Securities, Inc. CRD: 14423 | - | 0 | 0 | A | INACTIVE |
| Game Changers Ventures Management, LLC CRD: 339283 | - | 0 | 1 | - | Unknown |
| Game Creek Capital, LP CRD: 158973 | - | 0 | 1 | - | Unknown |
| Game Plan Financial Advisors, LLC CRD: 147608 | - | 0 | 1 | - | Unknown |
| Game Plan Financial, LLC CRD: 282644 | - | 0 | 0 | - | Unknown |
| Gamefish Capital Management LLC CRD: 173063 | - | 0 | 0 | - | Unknown |
| Gamma Asset Management LLC CRD: 300050 | - | 0 | 4 | - | Unknown |
| Gamma Capital Securities, Inc CRD: 41748 | - | 0 | 0 | A | INACTIVE |
| Gamma Group CRD: 118295 | - | 0 | 2 | - | Unknown |
| Gamma Investing LLC CRD: 312573 | - | 0 | 7 | - | Unknown |
| Gamma Investment Management LLC CRD: 304685 | - | 0 | 0 | - | Unknown |
| Gamma Paradigm Capital, LP CRD: 226569 | - | 0 | 1 | - | Unknown |
| Gamma Real Estate Capital Management, Inc. CRD: 175339 | - | 0 | 0 | - | Unknown |
| Gamma Securities, LLC CRD: 298341 | PR | 0 | 2 | A | Active |
| Gamma VOL Fund LP CRD: 125787 | - | 0 | 0 | A | INACTIVE |
| Gamma Wealth Management CRD: 309326 | - | 0 | 0 | - | Unknown |
| Gamma-Q, LLC CRD: 277135 | - | 0 | 0 | - | Unknown |
| Gampell Capital Management, LLC CRD: 146095 | - | 0 | 0 | - | Unknown |
| Gamsg Financial Advisors LLC CRD: 320725 | - | 0 | 2 | - | Unknown |
| Gamut Capital Management, L.P. CRD: 281091 | - | 0 | 1 | - | Unknown |
| GAN Private Wealth Management LLC CRD: 282725 | - | 0 | 1 | - | Unknown |
| GAN Ventures, LLC CRD: 288175 | - | 0 | 0 | - | Unknown |
| Ganas Ventures, LLC CRD: 320651 | - | 0 | 1 | - | Unknown |
| Ganbatte, LLC CRD: 157552 | - | 0 | 0 | - | Unknown |
| Gancer, Peter Joseph CRD: 33827 | - | 0 | 0 | A | INACTIVE |
| Gandalf Securities, Inc. CRD: 18403 | - | 0 | 0 | A | INACTIVE |
| Ganel Financial Partners, LLC CRD: 310875 | - | 0 | 0 | - | Unknown |
| Ganesha LAB Ventures LLC CRD: 326987 | - | 0 | 0 | - | Unknown |
| Ganim Private Wealth CRD: 285679 | - | 0 | 1 | - | Unknown |
| Gann Capital LLC CRD: 299554 | - | 0 | 1 | - | Unknown |
| Gannaway Capital Management CRD: 290919 | - | 0 | 0 | - | Unknown |
| Gannett Wealth Advisors CRD: 328213 | - | 0 | 8 | - | Unknown |
| Gann° CRD: 308962 | - | 0 | 0 | - | Unknown |
| Ganoudis Securities CRD: 32529 | - | 0 | 0 | A | INACTIVE |
| Gans Securities Corporation CRD: 17466 | - | 0 | 0 | A | INACTIVE |
| Gant Investment Advisors, Inc. CRD: 120467 | - | 0 | 1 | - | Unknown |
| Gant Private Financial Management CRD: 148724 | - | 0 | 0 | - | Unknown |
| Gantt Financial Advisors, LLC CRD: 167871 | - | 0 | 1 | - | Unknown |
| Gantzert Investment Co., LLC CRD: 106623 | - | 0 | 0 | - | Unknown |
| GAO Investments CRD: 284665 | - | 0 | 1 | - | Unknown |
| GAO Shan Enterprises CRD: 305872 | - | 0 | 0 | - | Unknown |
| Gaoan Capital Management LLC CRD: 312559 | - | 0 | 2 | - | Unknown |
| Gaoteng Global Asset Management Limited CRD: 301825 | - | 0 | 0 | - | Unknown |
| GAP Asset Management, LLC CRD: 309925 | - | 0 | 1 | - | Unknown |
| GAP Financial Counseling Corp. CRD: 142488 | - | 0 | 1 | - | Unknown |
| GAP Financial Services or GAP Financial CRD: 288703 | - | 0 | 2 | - | Unknown |
| GAP to GAP Financial CRD: 297114 | - | 0 | 0 | - | Unknown |