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 |
|---|---|---|---|---|---|
| Great BAY Wealth Management CRD: 170686 | - | 0 | 2 | - | Unknown |
| Great Blue Financial CRD: 317084 | - | 0 | 1 | - | Unknown |
| Great Blue Wealth LLC CRD: 338368 | - | 0 | 1 | - | Unknown |
| Great Circle Financial CRD: 8658 | - | 10 | 0 | D | INACTIVE |
| Great Circle Partners LLC CRD: 136682 | - | 0 | 0 | - | Unknown |
| Great Circle Ventures GP, LLC CRD: 326490 | - | 0 | 1 | - | Unknown |
| Great Cumberland Group Inc CRD: 21698 | - | 0 | 0 | A | INACTIVE |
| Great DAY Financial CRD: 174992 | - | 0 | 0 | - | Unknown |
| Great Diamond Partners, LLC CRD: 299598 | - | 0 | 2 | - | Unknown |
| Great Eastern Securities, Inc. CRD: 2061 | - | 14 | 0 | D | INACTIVE |
| Great ELM Capital Management, LLC CRD: 284304 | - | 0 | 2 | - | Unknown |
| Great ELM, LLC CRD: 333969 | - | 0 | 1 | - | Unknown |
| Great Gable Partners, LP CRD: 133184 | - | 0 | 0 | - | Unknown |
| Great Gable Wealth Management, LLC CRD: 297501 | - | 0 | 1 | - | Unknown |
| Great Heritage Investments, LLC CRD: 288521 | - | 0 | 0 | - | Unknown |
| Great Hill Advisory CRD: 283228 | - | 0 | 2 | - | Unknown |
| Great Hill Capital, LLC CRD: 328021 | - | 0 | 1 | - | Unknown |
| Great Hill Partners CRD: 158158 | - | 0 | 1 | - | Unknown |
| Great Island Investment Management, LLC CRD: 327789 | - | 0 | 0 | - | Unknown |
| Great Island Management LLC CRD: 317859 | - | 0 | 1 | - | Unknown |
| Great Korea Securities, Inc. CRD: 25939 | - | 0 | 0 | A | INACTIVE |
| Great Lakes Advisors, LLC CRD: 110757 | - | 0 | 4 | - | Unknown |
| Great Lakes BAY Financial CRD: 297138 | - | 0 | 1 | - | Unknown |
| Great Lakes Benefits and Wealth Management CRD: 140440 | - | 0 | 2 | - | Unknown |
| Great Lakes Capital LLC CRD: 122786 | - | 0 | 0 | - | Unknown |
| Great Lakes Capital Partners Ltd. CRD: 119995 | - | 0 | 0 | A | INACTIVE |
| Great Lakes Capital, Inc. CRD: 20025 | - | 0 | 0 | A | INACTIVE |
| Great Lakes Equities Co. CRD: 16175 | - | 0 | 0 | A | INACTIVE |
| Great Lakes Financial Companies Inc. CRD: 120272 | - | 0 | 3 | - | Unknown |
| Great Lakes Financial Planning, LLC CRD: 154392 | - | 0 | 0 | - | Unknown |
| Great Lakes Financial Strategies, LLC CRD: 323837 | - | 0 | 1 | - | Unknown |
| Great Lakes Financing, LLC CRD: 298790 | - | 0 | 0 | - | Unknown |
| Great Lakes Investment Advisors Inc. CRD: 144066 | - | 0 | 1 | - | Unknown |
| Great Lakes Legacy Group, LLC CRD: 154875 | - | 0 | 0 | - | Unknown |
| Great Lakes Retirement Planning LLC CRD: 290434 | - | 0 | 1 | - | Unknown |
| Great Lakes Retirement Solutions, Inc. CRD: 167046 | - | 0 | 3 | - | Unknown |
| Great Lakes Securities Inc. CRD: 13766 | - | 0 | 0 | A | INACTIVE |
| Great Lakes Securities, Inc. CRD: 35119 | - | 0 | 0 | A | INACTIVE |
| Great Lakes Wealth Management, LLC CRD: 159223 | - | 0 | 0 | - | Unknown |
| Great Lakes Wealth, LLC CRD: 282362 | - | 0 | 1 | - | Unknown |
| Great Life Financial Planning LLC CRD: 298526 | - | 0 | 0 | - | Unknown |
| Great Life Investing CRD: 310681 | - | 0 | 0 | - | Unknown |
| Great Meadows Capital LLC CRD: 309366 | - | 0 | 1 | - | Unknown |
| Great Mountain Capital Management LLC CRD: 133909 | - | 0 | 2 | - | Unknown |
| Great Mountain Partners CRD: 309528 | - | 0 | 1 | - | Unknown |
| Great Nation Investment Corporation CRD: 19981 | - | 3 | 0 | C | INACTIVE |
| Great North Ventures CRD: 316159 | - | 0 | 1 | - | Unknown |
| Great Northern Asset Management, LLC CRD: 139457 | - | 0 | 0 | - | Unknown |
| Great Northern Development Corporation CRD: 13640 | - | 0 | 0 | A | INACTIVE |
| Great Northern Financial Securities, Inc. CRD: 113054 | - | 2 | 0 | B | INACTIVE |