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 |
|---|---|---|---|---|---|
| Global Wealth Allocation Ltd CRD: 168016 | - | 0 | 0 | - | Unknown |
| Global Wealth Consultants, LLC CRD: 144221 | - | 0 | 0 | - | Unknown |
| Global Wealth Harbor CRD: 315907 | - | 0 | 1 | - | Unknown |
| Global Wealth Management CRD: 167025 | - | 0 | 1 | - | Unknown |
| Global Wealth Management Investment Advisory, Inc. CRD: 286005 | - | 0 | 2 | - | Unknown |
| Global Wealth Management, Inc. CRD: 115806 | - | 0 | 2 | - | Unknown |
| Global Wealth Management, L.C. CRD: 150743 | - | 0 | 1 | - | Unknown |
| Global Wealth Management, LLC CRD: 330349 | - | 0 | 1 | - | Unknown |
| Global Wealth Management, LLC CRD: 153677 | - | 0 | 1 | - | Unknown |
| Global Wealth Partners, LLC CRD: 150481 | - | 0 | 1 | - | Unknown |
| Global Wealth Strategies and Associates, LLC CRD: 316072 | - | 0 | 9 | - | Unknown |
| Global Wealth, LLC CRD: 321775 | - | 0 | 1 | - | Unknown |
| Global Wine Partners (U.S.) LLC CRD: 130192 | - | 0 | 0 | A | INACTIVE |
| Global X Management Company LLC CRD: 146932 | - | 0 | 1 | - | Unknown |
| Global-American Investments, Inc. CRD: 41802 | - | 0 | 0 | A | INACTIVE |
| Global-Assets Inc CRD: 334617 | - | 0 | 1 | - | Unknown |
| Globalaji Capital Group CRD: 168142 | - | 0 | 0 | - | Unknown |
| Globalcomm Securities, Inc. CRD: 13228 | - | 0 | 0 | A | INACTIVE |
| Globalgatecapital LLC CRD: 332046 | - | 0 | 1 | - | Unknown |
| Globalink Securities, Inc. CRD: 29721 | CA | 4 | 5 | B | Active |
| Globalink Wealth Management, LLC CRD: 323294 | - | 0 | 1 | - | Unknown |
| Globalist Capital, LLC CRD: 152786 | CA | 0 | 2 | A | Active |
| Globalmacro Capital Management, LLC CRD: 153819 | - | 0 | 2 | - | Unknown |
| Globalnetsecurities Corp. CRD: 42912 | - | 0 | 0 | A | INACTIVE |
| Globalt Investments CRD: 168405 | - | 0 | 0 | - | Unknown |
| Globalt Investments CRD: 328039 | - | 0 | 1 | - | Unknown |
| Globalvest Securities, (USA), Inc CRD: 15458 | - | 0 | 0 | A | INACTIVE |
| Globalview Capital, LLC CRD: 128533 | - | 0 | 0 | - | Unknown |
| Globan Securities, Inc. CRD: 104380 | - | 0 | 0 | A | INACTIVE |
| Globe & Anchor Wealth Management & Financial Plann… CRD: 287722 | - | 0 | 1 | - | Unknown |
| Globe 3 Advisors, LLC CRD: 331005 | - | 0 | 1 | - | Unknown |
| Globe Securities Inc. CRD: 6779 | - | 0 | 0 | A | INACTIVE |
| Globeflex Capital LP CRD: 106417 | - | 0 | 2 | - | Unknown |
| Globeop Markets Limited CRD: 143787 | - | 0 | 0 | A | INACTIVE |
| Globeshare, Inc. CRD: 47746 | - | 0 | 0 | A | INACTIVE |
| Globespan Capital Partners CRD: 160205 | - | 0 | 1 | - | Unknown |
| Globetech Securities LLC CRD: 306611 | NY | 0 | 2 | A | Active |
| Globevestor Fund Management, LLC CRD: 171790 | - | 0 | 0 | - | Unknown |
| Globicom Advisory Services, LLC CRD: 152544 | - | 0 | 0 | - | Unknown |
| Globig Investments, Inc. CRD: 322159 | - | 0 | 0 | - | Unknown |
| Globindex Analytic Investments CRD: 166797 | - | 0 | 0 | - | Unknown |
| Globis Capital Management L.P. CRD: 170490 | - | 0 | 1 | - | Unknown |
| Globostrategy Investments Inc. CRD: 164988 | - | 0 | 0 | - | Unknown |
| Glocap Funding, LLC CRD: 122364 | - | 0 | 0 | A | INACTIVE |
| Gloria Fang CPA, PLLC CRD: 290716 | - | 0 | 0 | - | Unknown |
| Gloria Gerber B/D CRD: 28483 | - | 0 | 0 | A | INACTIVE |
| Glorieta Group, LLC CRD: 152829 | - | 0 | 0 | - | Unknown |
| Glorious Dawn Capital Management Co., Ltd CRD: 339951 | - | 0 | 1 | - | Unknown |
| Glouston Capital Partners, LLC CRD: 133792 | - | 0 | 1 | - | Unknown |
| Glover Capital, Inc. CRD: 21117 | - | 0 | 0 | A | INACTIVE |