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 |
|---|---|---|---|---|---|
| Allworth Financial, L.P. CRD: 111167 | - | 0 | 264 | - | Unknown |
| Ally Bridge Group (HK) Limited CRD: 269852 | - | 0 | 0 | - | Unknown |
| Ally Bridge Group (NY) LLC CRD: 291072 | - | 0 | 1 | - | Unknown |
| Ally Bridge Group (PE) LLC CRD: 315273 | - | 0 | 1 | - | Unknown |
| Ally Business & Wealth CRD: 310517 | - | 0 | 1 | - | Unknown |
| Ally Invest Advisors CRD: 170301 | - | 0 | 57 | - | Unknown |
| Ally Invest Securities LLC CRD: 136131 | NC | 3 | 7 | C | Active |
| Ally Securities LLC CRD: 25988 | - | 0 | 0 | A | INACTIVE |
| Ally Wealth Management CRD: 181521 | - | 0 | 0 | - | Unknown |
| Allysian Wealth Planning CRD: 338995 | - | 0 | 1 | - | Unknown |
| ALM Advisors, Inc. CRD: 112350 | - | 0 | 0 | - | Unknown |
| ALM First Financial Advisors LLC CRD: 108561 | - | 0 | 1 | - | Unknown |
| ALM, Kane, Rogers & Co. CRD: 1050 | - | 0 | 0 | A | INACTIVE |
| Alma Capital London Limited CRD: 332579 | - | 0 | 0 | - | Unknown |
| Alma Global Infrastructure LLC CRD: 306211 | - | 0 | 1 | - | Unknown |
| Almaca Securities Corp CRD: 101162 | - | 0 | 0 | A | INACTIVE |
| Almanac Management LLC CRD: 326270 | - | 0 | 1 | - | Unknown |
| Almanac Realty Investors, LLC CRD: 156718 | - | 0 | 0 | - | Unknown |
| Almanack Investment Partners CRD: 282428 | - | 0 | 8 | - | Unknown |
| Almaz Capital CRD: 171092 | - | 0 | 1 | - | Unknown |
| Almaz Capital Partners, Ltd CRD: 163790 | - | 0 | 1 | - | Unknown |
| Almega Wealth Management CRD: 316840 | - | 0 | 5 | - | Unknown |
| Almitas Capital LLC CRD: 166705 | - | 0 | 1 | - | Unknown |
| Almond Analytics Advisory Services LLC CRD: 285957 | - | 0 | 0 | - | Unknown |
| Almond Financial Planning NW CRD: 164587 | - | 0 | 0 | - | Unknown |
| Almstedt Brothers, Inc. CRD: 31 | - | 0 | 0 | A | INACTIVE |
| ALN Financial Planners CRD: 136395 | - | 0 | 0 | - | Unknown |
| Alna Wealth Management CRD: 340941 | - | 0 | 2 | - | Unknown |
| ALO Financial Planning CRD: 297002 | - | 0 | 2 | - | Unknown |
| ALO, Steven CRD: 31665 | - | 0 | 0 | A | INACTIVE |
| Aloft Financial CRD: 332450 | - | 0 | 1 | - | Unknown |
| Aloft VC LLC CRD: 309833 | - | 0 | 1 | - | Unknown |
| Aloha Asset Management CRD: 123391 | - | 0 | 0 | - | Unknown |
| Aloha Wealth Partners CRD: 315961 | - | 0 | 1 | - | Unknown |
| Alohana Financial, LLC CRD: 339433 | - | 0 | 1 | - | Unknown |
| Alongside Wealth Advisors, LLC CRD: 323235 | - | 0 | 2 | - | Unknown |
| Alongside, LLC CRD: 333587 | - | 0 | 22 | - | Unknown |
| Alooola CRD: 325090 | - | 0 | 1 | - | Unknown |
| Alothon Group LLC CRD: 161817 | - | 0 | 0 | - | Unknown |
| ALP Financial Group LLC CRD: 336389 | PA | 0 | 3 | A | Active |
| ALP Financial Planning Inc. CRD: 136828 | - | 0 | 0 | - | Unknown |
| ALP, LLC CRD: 299481 | - | 0 | 0 | - | Unknown |
| Alpaca CRD: 317262 | - | 0 | 1 | - | Unknown |
| Alpaca Securities LLC CRD: 288202 | NY | 2 | 9 | B | Active |
| Alpen Partners International AG CRD: 291759 | - | 0 | 0 | - | Unknown |
| Alpen Securities, Inc. CRD: 7434 | - | 0 | 0 | A | INACTIVE |
| Alpenglow Advisors LLC CRD: 306067 | - | 0 | 1 | - | Unknown |
| Alpenglow Capital CRD: 342824 | - | 0 | 1 | - | Unknown |
| Alpenglow Capital LP CRD: 172004 | - | 0 | 0 | - | Unknown |
| Alpern NGS Advisor, LLC CRD: 129851 | - | 0 | 0 | - | Unknown |