Broker-Dealer Firms
279 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 |
|---|---|---|---|---|---|
| Trend Trade Securities LLC CRD: 328756 | CA | 0 | 2 | A | Active |
| Triple a Partners LLC CRD: 142790 | CA | 0 | 2 | A | Active |
| Triton Pacific Capital, LLC CRD: 40817 | CA | 0 | 2 | A | Active |
| Triton Pacific Securities, LLC CRD: 139919 | CA | 1 | 3 | B | Active |
| TWD Securities, LLC CRD: 143380 | CA | 0 | 2 | A | Active |
| Union Square Advisors LLC CRD: 141254 | CA | 0 | 4 | A | Active |
| Uphorizon, LLC CRD: 328256 | CA | 0 | 2 | A | Active |
| Upmarket Securities LLC CRD: 295634 | CA | 2 | 4 | B | Active |
| US Capital Global Securities, LLC CRD: 169544 | CA | 0 | 2 | A | Active |
| Vaquero Capital LLC CRD: 137753 | CA | 0 | 2 | A | Active |
| VEX Securities CRD: 317371 | CA | 0 | 1 | A | Active |
| VF Securities CRD: 315194 | CA | 0 | 2 | A | Active |
| Vista Point Advisors, LLC CRD: 157502 | CA | 0 | 3 | A | Active |
| Voleon Securities Markets LLC CRD: 332480 | CA | 0 | 3 | A | Active |
| Waveedge Partners LLC CRD: 126182 | CA | 0 | 2 | A | Active |
| Waveland Capital Partners LLC CRD: 40054 | CA | 2 | 2 | B | Active |
| Wealthfront Brokerage LLC CRD: 153407 | CA | 0 | 5 | A | Active |
| Wedbush Securities Inc. CRD: 877 | CA | 212 | 152 | D | Active |
| Westpark Capital, Inc. CRD: 39914 | CA | 16 | 8 | B | Active |
| White OAK Merchant Partners LLC CRD: 140142 | CA | 0 | 4 | A | Active |
| Wildridge Securities CRD: 335666 | CA | 0 | 2 | A | Active |
| William and Henry Associates CRD: 154566 | CA | 0 | 2 | A | Active |
| WNC Capital Corporation CRD: 36174 | CA | 0 | 2 | A | Active |
| Wood Warren & Co. Securities, LLC CRD: 136526 | CA | 0 | 2 | A | Active |
| Wulff, Hansen & Co. CRD: 908 | CA | 4 | 5 | B | Active |
| Xnergy Financial LLC CRD: 144436 | CA | 1 | 2 | B | Active |
| Yosemite Execution Partners Inc. CRD: 165587 | CA | 1 | 2 | B | Active |
| Zanbato Securities LLC CRD: 279028 | CA | 0 | 2 | A | Active |
| Zytrade LLC CRD: 172567 | CA | 2 | 2 | B | Active |
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