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 |
|---|---|---|---|---|---|
| Alphaq Advisors CRD: 141006 | - | 0 | 1 | - | Unknown |
| Alphaquest LLC CRD: 285141 | - | 0 | 1 | - | Unknown |
| Alphaquest Partners, LLC CRD: 284559 | - | 0 | 0 | - | Unknown |
| Alphasfuture LLC CRD: 299787 | - | 0 | 1 | - | Unknown |
| Alphasimplex Group, LLC CRD: 128356 | - | 0 | 1 | - | Unknown |
| Alphaskew MC, LLC CRD: 333330 | - | 0 | 1 | - | Unknown |
| Alphasource Advisors LLC CRD: 145828 | - | 0 | 0 | - | Unknown |
| Alphatech Investments CRD: 15201 | - | 0 | 0 | A | INACTIVE |
| Alphatheta Capital LLC CRD: 168143 | - | 0 | 1 | - | Unknown |
| Alphatrade Inc. CRD: 43928 | - | 0 | 0 | A | INACTIVE |
| Alphatrai Funds Inc. CRD: 318658 | - | 0 | 0 | - | Unknown |
| Alphatrai IM, LLC CRD: 309417 | - | 0 | 0 | - | Unknown |
| Alphatrust Advisors CRD: 340962 | - | 0 | 1 | - | Unknown |
| Alphavatic LLC CRD: 338326 | - | 0 | 1 | - | Unknown |
| Alphavista Asset Management LLC CRD: 329866 | - | 0 | 1 | - | Unknown |
| Alphaworks CRD: 171166 | - | 0 | 0 | - | Unknown |
| Alphemy Capital SA CRD: 329116 | - | 0 | 0 | - | Unknown |
| Alphi Capital LP CRD: 335349 | - | 0 | 0 | - | Unknown |
| Alpina Capital, LLC CRD: 145794 | CO | 0 | 2 | A | Active |
| Alpine Asset Management CRD: 174703 | - | 0 | 1 | - | Unknown |
| Alpine Associates Management Inc. CRD: 138901 | - | 0 | 1 | - | Unknown |
| Alpine Associates, a Limited Partnership CRD: 7195 | - | 3 | 0 | C | INACTIVE |
| Alpine Bioventures, GP, LLC CRD: 169226 | - | 0 | 1 | - | Unknown |
| Alpine Broker Services Corp. CRD: 17941 | - | 0 | 0 | A | INACTIVE |
| Alpine Cycle Strategies CRD: 297822 | - | 0 | 0 | - | Unknown |
| Alpine Financial Advisers, LLC CRD: 147393 | - | 0 | 1 | - | Unknown |
| Alpine FOX Capital, LLC CRD: 324348 | - | 0 | 1 | - | Unknown |
| Alpine Grove Partners LLP CRD: 157485 | - | 0 | 1 | - | Unknown |
| Alpine Growth Capital Advisors LLC CRD: 158756 | - | 0 | 0 | - | Unknown |
| Alpine Hill Advisors LLC CRD: 325412 | - | 0 | 1 | - | Unknown |
| Alpine Investors CRD: 157255 | - | 0 | 1 | - | Unknown |
| Alpine Managers CRD: 282748 | - | 0 | 0 | - | Unknown |
| Alpine Partners, L.P. CRD: 43424 | - | 1 | 0 | B | INACTIVE |
| Alpine Peaks Capital, LP CRD: 290241 | - | 0 | 0 | - | Unknown |
| Alpine Peaks Consulting CRD: 154366 | - | 0 | 2 | - | Unknown |
| Alpine Private Wealth CRD: 286072 | - | 0 | 2 | - | Unknown |
| Alpine Quantitative Management, LLC CRD: 293879 | - | 0 | 1 | - | Unknown |
| Alpine Retirement Planning CRD: 329216 | - | 0 | 0 | - | Unknown |
| Alpine Road Financial CRD: 331538 | - | 0 | 1 | - | Unknown |
| Alpine Saxon Woods CRD: 109686 | - | 0 | 1 | - | Unknown |
| Alpine Securities Usvi, LLC CRD: 149217 | - | 0 | 0 | A | INACTIVE |
| Alpine Shore Capital CRD: 292198 | - | 0 | 0 | - | Unknown |
| Alpine Space Ventures Management GMBH CRD: 325472 | - | 0 | 0 | - | Unknown |
| Alpine Trail Management LLC CRD: 340476 | - | 0 | 1 | - | Unknown |
| Alpine Wealth Advisors, LLC CRD: 105433 | - | 0 | 1 | - | Unknown |
| Alpine Wealth Management LLC CRD: 149463 | - | 0 | 0 | - | Unknown |
| Alpinvest Partners B.V. CRD: 159215 | - | 0 | 0 | - | Unknown |
| Alpinvest Private Equity Investment Management, LL… CRD: 322058 | - | 0 | 1 | - | Unknown |
| Alpinvest US Holdings, LLC CRD: 328458 | - | 0 | 1 | - | Unknown |
| Alps Advisors, Inc. CRD: 134340 | - | 0 | 1 | - | Unknown |