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 |
|---|---|---|---|---|---|
| Gates Mills Technologies LLC CRD: 333811 | - | 0 | 1 | - | Unknown |
| Gates Pass Advisors, LLC CRD: 269983 | - | 0 | 2 | - | Unknown |
| Gates Wealth Group CRD: 322129 | - | 0 | 1 | - | Unknown |
| Gateway Advisors, LLC CRD: 286232 | - | 0 | 1 | - | Unknown |
| Gateway Advisory, LLC CRD: 152347 | - | 0 | 0 | - | Unknown |
| Gateway Asset Management, LLC CRD: 311521 | - | 0 | 1 | - | Unknown |
| Gateway Capital (Hong Kong) Limited CRD: 315398 | - | 0 | 0 | - | Unknown |
| Gateway Capital Investment Group Inc. CRD: 35999 | - | 0 | 0 | A | INACTIVE |
| Gateway Capital Management CRD: 154887 | - | 0 | 1 | - | Unknown |
| Gateway Capital Partners, LLC CRD: 313532 | - | 0 | 1 | - | Unknown |
| Gateway Financial CRD: 306078 | - | 0 | 2 | - | Unknown |
| Gateway Financial & Estate Planning, Inc. CRD: 144741 | - | 0 | 7 | - | Unknown |
| Gateway Financial Advisors Texas, LLC CRD: 321174 | - | 0 | 2 | - | Unknown |
| Gateway Financial Group, Inc. CRD: 115619 | - | 0 | 2 | - | Unknown |
| Gateway Investment Advisers, LLC CRD: 146681 | - | 0 | 6 | - | Unknown |
| Gateway Investment Management Services (Difc) Limi… CRD: 338186 | - | 0 | 0 | - | Unknown |
| Gateway Investment Services, Inc. CRD: 22175 | - | 0 | 0 | A | INACTIVE |
| Gateway Investment Services, Inc. CRD: 31153 | - | 0 | 0 | A | INACTIVE |
| Gateway Partners II Limited CRD: 312184 | - | 0 | 0 | - | Unknown |
| Gateway Partners, LLC CRD: 38648 | - | 1 | 0 | B | INACTIVE |
| Gateway Partners, LLC. CRD: 168488 | - | 0 | 0 | - | Unknown |
| Gateway Securities, Inc. CRD: 8104 | - | 0 | 0 | A | INACTIVE |
| Gateway Ventures Management LLC CRD: 306326 | - | 0 | 0 | - | Unknown |
| Gateway Ventures Management LLC CRD: 319183 | - | 0 | 1 | - | Unknown |
| Gateway Wealth Management, LLC CRD: 172433 | - | 0 | 1 | - | Unknown |
| Gateway Wealth Management, LLC CRD: 323278 | - | 0 | 1 | - | Unknown |
| Gateway Wealth Partners, LLC CRD: 322789 | - | 0 | 95 | - | Unknown |
| Gateway Wealth, Inc. CRD: 106022 | - | 0 | 1 | - | Unknown |
| Gatewood Capital Management LLC CRD: 282128 | - | 0 | 1 | - | Unknown |
| Gatewood Securities LLC CRD: 171121 | - | 0 | 0 | A | INACTIVE |
| Gather Financial Planning CRD: 164542 | - | 0 | 0 | - | Unknown |
| Gather Venture Group, LLC CRD: 308903 | - | 0 | 0 | - | Unknown |
| Gather Ventures LLC CRD: 316729 | - | 0 | 1 | - | Unknown |
| Gator Capital Management, LLC CRD: 147067 | - | 0 | 3 | - | Unknown |
| Gator Investment Advisors, LLC CRD: 322533 | - | 0 | 1 | - | Unknown |
| Gatsby Management, LLC CRD: 334518 | - | 0 | 1 | - | Unknown |
| Gatsby Securities CRD: 300596 | - | 0 | 0 | A | INACTIVE |
| Gatten Sadowski Inc. CRD: 145980 | - | 0 | 0 | A | INACTIVE |
| Gattini & Co. CRD: 10317 | - | 0 | 0 | A | INACTIVE |
| Gatx Lease Funding Inc CRD: 11496 | - | 0 | 0 | A | INACTIVE |
| Gauge Capital CRD: 169890 | - | 0 | 1 | - | Unknown |
| Gaun Wealth Management Ltd. CRD: 339643 | - | 0 | 1 | - | Unknown |
| Gauntt & Gauntt Incorporated CRD: 13929 | - | 0 | 0 | A | INACTIVE |
| Gaur Asset Management, Inc. CRD: 129345 | - | 0 | 1 | - | Unknown |
| GAV, Ltd. CRD: 120509 | - | 0 | 0 | - | Unknown |
| Gavea Investimentos Ltda CRD: 162004 | - | 0 | 0 | - | Unknown |
| Gavekal Capital Limited CRD: 167819 | - | 0 | 0 | - | Unknown |
| Gavekal Securities LLC CRD: 125991 | - | 0 | 0 | A | INACTIVE |
| Gavigan Executions, LLC CRD: 147649 | - | 0 | 0 | A | INACTIVE |
| Gavilan Investment Partners LLC CRD: 311134 | - | 0 | 1 | - | Unknown |