Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Elara Securities, Inc. CRD: 151232 | NY | 0 | 2 | A | Active |
| Elequin Securities LLC CRD: 311650 | NY | 0 | 4 | A | Active |
| Elseware Financial Services LLC CRD: 327555 | NY | 0 | 3 | A | Active |
| EM Securities LLC CRD: 148257 | NY | 0 | 3 | A | Active |
| Empire Investment Inc. CRD: 16763 | NY | 4 | 2 | B | Active |
| Empire State Financial, Inc. CRD: 5657 | NY | 0 | 2 | A | Active |
| Empirical Research Partners LLC CRD: 123520 | NY | 0 | 5 | A | Active |
| Endeavor Capital CRD: 118820 | NY | 1 | 2 | B | Active |
| Entegra Securities LLC CRD: 332517 | NY | 0 | 1 | A | Active |
| EP Securities, LLC CRD: 150774 | NY | 0 | 2 | A | Active |
| Equilend CRD: 119107 | NY | 0 | 2 | A | Active |
| Equitable Advisors, LLC CRD: 6627 | NY | 37 | 2,311 | B | Active |
| Equiteq Securities LLC CRD: 283799 | NY | 0 | 4 | A | Active |
| Equityzen Securities LLC CRD: 281820 | NY | 0 | 4 | A | Active |
| Ernst & Young Capital Advisors, LLC CRD: 152514 | NY | 0 | 11 | A | Active |
| ESL Investment Services, LLC CRD: 139176 | NY | 0 | 27 | A | Active |
| Etico Partners, LLC CRD: 122481 | NY | 1 | 7 | B | Active |
| Eureka Capital Markets, LLC CRD: 116873 | NY | 0 | 2 | A | Active |
| Eurolink Securities LLC CRD: 165041 | NY | 0 | 2 | A | Active |
| Euronext Market Services LLC CRD: 290564 | NY | 0 | 2 | A | Active |
| Evercore Group L.L.C. CRD: 42405 | NY | 3 | 27 | C | Active |
| Exos Securities LLC CRD: 298276 | NY | 0 | 3 | A | Active |
| FAR Hills Group, LLC. CRD: 32243 | NY | 1 | 3 | B | Active |
| FBN Securities, Inc. CRD: 18315 | NY | 3 | 5 | B | Active |
| FDX Capital LLC CRD: 119302 | NY | 2 | 2 | B | Active |
| FE Capital Markets CRD: 314943 | NY | 0 | 2 | A | Active |
| Fearnley Securities CRD: 174133 | NY | 0 | 2 | A | Active |
| Federated Securities, Inc. CRD: 5050 | NY | 1 | 2 | B | Active |
| FEF Distributors, LLC CRD: 46585 | NY | 1 | 9 | B | Active |
| Fenchurch Partners LP CRD: 321750 | NY | 0 | 2 | A | Active |
| Fenimore Securities, Inc. CRD: 104391 | NY | 0 | 3 | A | Active |
| Fenix Securities, LLC CRD: 159481 | NY | 3 | 3 | B | Active |
| Fennel CRD: 316281 | NY | 0 | 1 | A | Active |
| Ferghana Securities, Inc. CRD: 43430 | NY | 1 | 2 | B | Active |
| Ferretti Group, Inc. CRD: 47768 | NY | 0 | 3 | A | Active |
| FGC Securities, LLC CRD: 158399 | NY | 0 | 2 | A | Active |
| FIN2 CRD: 316863 | NY | 0 | 1 | A | Active |
| Finalis Securities LLC CRD: 305908 | NY | 0 | 8 | A | Active |
| First Avenue CRD: 145860 | NY | 0 | 2 | A | Active |
| First Citizens Capital Securities, LLC CRD: 41504 | NY | 0 | 2 | A | Active |
| First Omega, LLC CRD: 306373 | NY | 0 | 2 | A | Active |
| Firstrade Securities Inc. CRD: 16843 | NY | 9 | 4 | C | Active |
| Flagstar Advisors CRD: 104233 | NY | 1 | 17 | B | Active |
| Flextrade LLC CRD: 113226 | NY | 0 | 3 | A | Active |
| FLI Investors, LLC CRD: 17128 | NY | 0 | 2 | A | Active |
| Flourish Financial LLC CRD: 293019 | NY | 0 | 6 | A | Active |
| Flow Traders U.S. Institutional Trading LLC CRD: 282266 | NY | 1 | 3 | B | Active |
| Flow Traders U.S. LLC CRD: 150780 | NY | 4 | 3 | B | Active |
| FMX Execution, LLC CRD: 154075 | NY | 0 | 5 | A | Active |
| Foros Securities LLC CRD: 150217 | NY | 0 | 2 | A | Active |