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 |
|---|---|---|---|---|---|
| Alpern Wealth Management, LLC CRD: 165268 | - | 0 | 0 | - | Unknown |
| Alpha CRD: 313285 | - | 0 | 1 | - | Unknown |
| Alpha & Omega CRD: 105548 | - | 0 | 1 | - | Unknown |
| Alpha 10 Capital, LLC CRD: 289133 | - | 0 | 0 | - | Unknown |
| Alpha Advisors Alliance, LLC CRD: 300442 | - | 0 | 0 | - | Unknown |
| Alpha Advisors, Inc. CRD: 307468 | - | 0 | 0 | - | Unknown |
| Alpha Advisors, LLC CRD: 118107 | - | 0 | 2 | - | Unknown |
| Alpha Advisors, LLC CRD: 138848 | - | 0 | 2 | - | Unknown |
| Alpha Alta Capital Management, LLC CRD: 310715 | - | 0 | 0 | - | Unknown |
| Alpha Alternative Investments, LLC CRD: 147390 | - | 0 | 1 | - | Unknown |
| Alpha Analytics Investment Group LLC CRD: 109844 | - | 0 | 1 | - | Unknown |
| Alpha Architect CRD: 153905 | - | 0 | 4 | - | Unknown |
| Alpha Ascent Ventures LLC CRD: 292578 | - | 0 | 1 | - | Unknown |
| Alpha Asset Advisors LLC CRD: 295093 | - | 0 | 2 | - | Unknown |
| Alpha Asset Consulting LLC CRD: 122659 | - | 0 | 0 | - | Unknown |
| Alpha Asset Management CRD: 112571 | - | 0 | 2 | - | Unknown |
| Alpha Associates Ltd. CRD: 167981 | - | 0 | 0 | - | Unknown |
| Alpha Beta Gamma Wealth Management CRD: 286579 | - | 0 | 0 | - | Unknown |
| Alpha Blue Capital CRD: 328350 | - | 0 | 1 | - | Unknown |
| Alpha Business Control Systems CRD: 15505 | - | 0 | 0 | A | INACTIVE |
| Alpha Capital Family Office, LLC CRD: 307521 | - | 0 | 3 | - | Unknown |
| Alpha Capital LLC CRD: 321194 | - | 0 | 2 | - | Unknown |
| Alpha Capital Management CRD: 121703 | - | 0 | 1 | - | Unknown |
| Alpha Capital Management Group LLC CRD: 283624 | - | 0 | 2 | - | Unknown |
| Alpha Capital Research, LLC CRD: 113330 | - | 0 | 2 | - | Unknown |
| Alpha Capital Wealth Advisors, LLC CRD: 328727 | - | 0 | 1 | - | Unknown |
| Alpha Concepts LLC CRD: 331431 | - | 0 | 1 | - | Unknown |
| Alpha Demon Investment Management LLC CRD: 285488 | - | 0 | 0 | - | Unknown |
| Alpha DNA Investment Management CRD: 288198 | - | 0 | 2 | - | Unknown |
| Alpha DOG Advisors, Ruff CRD: 152001 | - | 0 | 1 | - | Unknown |
| Alpha Dynamics LLC CRD: 157382 | - | 0 | 0 | - | Unknown |
| Alpha Edge Capital, LLC CRD: 300066 | - | 0 | 0 | - | Unknown |
| Alpha Edison Management Company, LLC CRD: 284514 | - | 0 | 1 | - | Unknown |
| Alpha Equity Research, Inc. CRD: 37654 | - | 1 | 0 | B | INACTIVE |
| Alpha EV, LLC CRD: 321970 | - | 0 | 1 | - | Unknown |
| Alpha Fiduciary CRD: 144720 | - | 0 | 1 | - | Unknown |
| Alpha Finance US Corporation CRD: 47953 | - | 0 | 0 | A | INACTIVE |
| Alpha Financial Advisors, LLC CRD: 116291 | - | 0 | 1 | - | Unknown |
| Alpha Financial Advisors, LLC CRD: 122545 | - | 0 | 2 | - | Unknown |
| Alpha Financial Nordic CRD: 175450 | - | 0 | 1 | - | Unknown |
| Alpha Focus L.L.C. CRD: 143799 | - | 0 | 0 | A | INACTIVE |
| Alpha Fund 2020 LLC CRD: 286026 | - | 0 | 0 | - | Unknown |
| Alpha Fund Management LLC CRD: 338253 | - | 0 | 1 | - | Unknown |
| Alpha Funders LLC CRD: 279030 | - | 0 | 0 | - | Unknown |
| Alpha Genesis Capital LLC CRD: 173016 | - | 0 | 0 | - | Unknown |
| Alpha Global Investments CRD: 154575 | - | 0 | 0 | - | Unknown |
| Alpha Group Capital LLC CRD: 290471 | - | 0 | 0 | - | Unknown |
| Alpha Group Enterprises CRD: 285279 | - | 0 | 0 | - | Unknown |
| Alpha Growth Management LLC CRD: 316760 | - | 0 | 1 | - | Unknown |
| Alpha Inertia Capital CRD: 310967 | - | 0 | 1 | - | Unknown |