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 OAK Capital Partners, LLC CRD: 281045 | - | 0 | 2 | - | Unknown |
| Great OAK Wealth Management, Inc CRD: 127780 | - | 0 | 2 | - | Unknown |
| Great Oaks Management Company LLC CRD: 166055 | - | 0 | 1 | - | Unknown |
| Great Ocean Road Financial CRD: 331567 | - | 0 | 1 | - | Unknown |
| Great Pacific Securities CRD: 29251 | CA | 2 | 5 | B | Active |
| Great Path Planning CRD: 284461 | - | 0 | 2 | - | Unknown |
| Great Pine Investments LLC CRD: 31538 | - | 2 | 0 | B | INACTIVE |
| Great Plains Capital, LLC CRD: 320762 | - | 0 | 1 | - | Unknown |
| Great Plains Consulting LLC CRD: 157924 | - | 0 | 0 | - | Unknown |
| Great Point Advisors LLC CRD: 164554 | - | 0 | 0 | - | Unknown |
| Great Point Capital LLC CRD: 114203 | IL | 13 | 4 | C | Active |
| Great Point Investors, LLC CRD: 112204 | - | 0 | 0 | - | Unknown |
| Great Point Partners, LLC CRD: 158423 | - | 0 | 1 | - | Unknown |
| Great Point Wealth Advisors, LLC CRD: 147082 | - | 0 | 3 | - | Unknown |
| Great Range Capital, LLC CRD: 164294 | - | 0 | 1 | - | Unknown |
| Great River Financial CRD: 314172 | - | 0 | 1 | - | Unknown |
| Great Southern Investments CRD: 19591 | - | 0 | 0 | A | INACTIVE |
| Great Southern Securities Company CRD: 16726 | - | 0 | 0 | A | INACTIVE |
| Great Valley Advisor Group, LLC CRD: 123913 | - | 0 | 198 | - | Unknown |
| Great Valley TAX & Financial Services CRD: 339647 | - | 0 | 1 | - | Unknown |
| Great Waters Financial CRD: 308215 | - | 0 | 4 | - | Unknown |
| Great Wave Ventures, LLC CRD: 336728 | - | 0 | 1 | - | Unknown |
| Great Wealth Investments CRD: 310135 | - | 0 | 2 | - | Unknown |
| Great West Partners, Inc. CRD: 43935 | - | 1 | 0 | B | INACTIVE |
| Greatdane Investment LLC CRD: 318880 | - | 0 | 2 | - | Unknown |
| Greater Colorado Venture Fund GP, LLC CRD: 299047 | - | 0 | 1 | - | Unknown |
| Greater Colorado Ventures CRD: 323465 | - | 0 | 1 | - | Unknown |
| Greater Community Financial, L.L.C. CRD: 41452 | - | 0 | 0 | A | INACTIVE |
| Greater Good Financial CRD: 313918 | - | 0 | 1 | - | Unknown |
| Greater Metropolitan Investment Services, Inc. CRD: 17452 | - | 6 | 0 | D | INACTIVE |
| Greater Midwest Financial Group, LLC CRD: 324387 | - | 0 | 1 | - | Unknown |
| Greater Pacific Securities,Inc. CRD: 10488 | - | 0 | 0 | A | INACTIVE |
| Greater SUM Ventures Capital, LLC CRD: 300858 | - | 0 | 0 | - | Unknown |
| Greater Than Financial CRD: 281703 | - | 0 | 2 | - | Unknown |
| Greater Than Ventures LLC CRD: 316875 | - | 0 | 0 | - | Unknown |
| Greater Wealth CRD: 326978 | - | 0 | 2 | - | Unknown |
| Greater Works Wealth CRD: 321786 | - | 0 | 1 | - | Unknown |
| Greatlinks Financial Group CRD: 174316 | - | 0 | 0 | - | Unknown |
| Greatmark Investment Partners, Inc. CRD: 105267 | - | 0 | 2 | - | Unknown |
| Greatpoint Investment Management, LLC CRD: 271032 | - | 0 | 1 | - | Unknown |
| Grecbex Technology Ltd CRD: 339728 | - | 0 | 1 | - | Unknown |
| Grecu Capital Management, Inc. CRD: 134841 | - | 0 | 0 | - | Unknown |
| Gree Capital Partners, LLC CRD: 301593 | - | 0 | 0 | - | Unknown |
| Gree LP Fund US CRD: 339964 | - | 0 | 1 | - | Unknown |
| Gree VR Capital, LLC CRD: 284199 | - | 0 | 0 | - | Unknown |
| Greek Trading LLC CRD: 104461 | - | 0 | 0 | A | INACTIVE |
| Greeley Securities, Inc. CRD: 7738 | - | 0 | 0 | A | INACTIVE |
| Greeley Wealth Management CRD: 307081 | - | 0 | 1 | - | Unknown |
| Green & Deckert LLC CRD: 299006 | - | 0 | 2 | - | Unknown |
| Green Alpha Investments CRD: 144413 | - | 0 | 1 | - | Unknown |