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 |
|---|---|---|---|---|---|
| Alpha Initiative CRD: 299242 | - | 0 | 1 | - | Unknown |
| Alpha Innovations Ltd. CRD: 300529 | - | 0 | 0 | - | Unknown |
| Alpha Innovators LLC CRD: 338507 | - | 0 | 1 | - | Unknown |
| Alpha Intelligence Asset Management CRD: 299789 | - | 0 | 0 | - | Unknown |
| Alpha Investment Advisors Inc. CRD: 139766 | - | 0 | 0 | - | Unknown |
| Alpha Investment Advisors, LLC CRD: 311227 | - | 0 | 0 | - | Unknown |
| Alpha Investment Advisory and Management, Inc. CRD: 151465 | - | 0 | 0 | - | Unknown |
| Alpha Investment Management CRD: 165493 | - | 0 | 0 | - | Unknown |
| Alpha Investment Management, Inc. CRD: 124313 | - | 0 | 1 | - | Unknown |
| Alpha JWC Management, Ltd. CRD: 318580 | - | 0 | 0 | - | Unknown |
| Alpha JWC Ventures PTE. Ltd. CRD: 318303 | - | 0 | 0 | - | Unknown |
| Alpha Leonis Partners, LLC CRD: 314560 | - | 0 | 1 | - | Unknown |
| Alpha Longevity Management Ltd. CRD: 311306 | - | 0 | 1 | - | Unknown |
| Alpha Loop Capital Management, LLC CRD: 336117 | - | 0 | 1 | - | Unknown |
| Alpha Management Inc. CRD: 6449 | - | 0 | 0 | A | INACTIVE |
| Alpha Management, Inc. CRD: 25817 | - | 0 | 0 | A | INACTIVE |
| Alpha Mode Capital LLC CRD: 282295 | - | 0 | 2 | - | Unknown |
| Alpha Omega Financial CRD: 314289 | - | 0 | 1 | - | Unknown |
| Alpha Omega Financial Advisors, LLC CRD: 300874 | - | 0 | 2 | - | Unknown |
| Alpha Omega Financial, LLC CRD: 157208 | - | 0 | 0 | - | Unknown |
| Alpha Omega Securities, Inc. CRD: 21430 | - | 0 | 0 | A | INACTIVE |
| Alpha Omega Wealth Management, LLC CRD: 149842 | - | 0 | 5 | - | Unknown |
| Alpha ONE Asset Management LLC CRD: 338725 | - | 0 | 1 | - | Unknown |
| Alpha Paradigm Partners, LLC CRD: 307837 | - | 0 | 0 | - | Unknown |
| Alpha Partners Management, LLC CRD: 286141 | - | 0 | 1 | - | Unknown |
| Alpha Payment Ltd CRD: 337697 | - | 0 | 1 | - | Unknown |
| Alpha Pension Group, Inc., a HUB International Com… CRD: 171290 | - | 0 | 0 | - | Unknown |
| Alpha Pilot LLC CRD: 335533 | - | 0 | 1 | - | Unknown |
| Alpha Planning and Financial Services, Inc. CRD: 130842 | - | 0 | 1 | - | Unknown |
| Alpha Prime Capital, LLC CRD: 296940 | - | 0 | 2 | - | Unknown |
| Alpha Principle, LLC CRD: 317053 | - | 0 | 0 | - | Unknown |
| Alpha Private Equity Funds Management Company CRD: 284478 | - | 0 | 0 | - | Unknown |
| Alpha Private Wealth Advisors LLC CRD: 172724 | - | 0 | 2 | - | Unknown |
| Alpha Quant Advisors, LLC CRD: 285855 | - | 0 | 0 | - | Unknown |
| Alpha Quest PTE. Ltd. CRD: 332458 | - | 0 | 0 | - | Unknown |
| Alpha Research Corporation CRD: 1052 | - | 0 | 0 | A | INACTIVE |
| Alpha Retirement Wealth, LLC CRD: 281786 | - | 0 | 1 | - | Unknown |
| Alpha Rising Advisors LLC CRD: 307413 | - | 0 | 1 | - | Unknown |
| Alpha Risk Management, LLC CRD: 167884 | - | 0 | 0 | - | Unknown |
| Alpha Rock Investments, LLC CRD: 335453 | - | 0 | 1 | - | Unknown |
| Alpha Rush, LLC CRD: 156068 | - | 0 | 2 | - | Unknown |
| Alpha Securities Corp. CRD: 36876 | - | 0 | 0 | A | INACTIVE |
| Alpha Solutions Investment Advisors CRD: 156541 | - | 0 | 1 | - | Unknown |
| Alpha Square Group S, LLC CRD: 308022 | - | 0 | 1 | - | Unknown |
| Alpha Squared Advisors Inc CRD: 226778 | - | 0 | 0 | - | Unknown |
| Alpha Street, Inc. CRD: 289945 | - | 0 | 0 | - | Unknown |
| Alpha Swan Management LP CRD: 324034 | - | 0 | 0 | - | Unknown |
| Alpha Technologies Capital Management, LLC CRD: 323858 | - | 0 | 0 | - | Unknown |
| Alpha Trading L.P. CRD: 289434 | - | 1 | 0 | B | Active |
| Alpha VEE Advisors CRD: 329205 | - | 0 | 1 | - | Unknown |