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 |
|---|---|---|---|---|---|
| Guardian Group Investments LLC CRD: 148617 | - | 0 | 0 | - | Unknown |
| Guardian International Securities Corp. CRD: 8454 | - | 0 | 0 | A | INACTIVE |
| Guardian Investment Advisors, LLC CRD: 300171 | - | 0 | 1 | - | Unknown |
| Guardian Investment Management CRD: 104935 | - | 0 | 1 | - | Unknown |
| Guardian Investments, Inc. CRD: 13573 | - | 0 | 0 | A | INACTIVE |
| Guardian Investor Services LLC CRD: 6635 | - | 6 | 0 | C | INACTIVE |
| Guardian Partners Inc. CRD: 324189 | - | 0 | 0 | - | Unknown |
| Guardian Plus Inc CRD: 134306 | - | 0 | 2 | - | Unknown |
| Guardian Plus RS CRD: 172561 | - | 0 | 0 | - | Unknown |
| Guardian Point Capital, LP CRD: 165053 | - | 0 | 1 | - | Unknown |
| Guardian Pointe Private Wealth Management, LLC CRD: 284460 | - | 0 | 0 | - | Unknown |
| Guardian Road Capital LLC CRD: 166608 | - | 0 | 0 | - | Unknown |
| Guardian Rock Wealth Investment Management, Inc. CRD: 120529 | - | 0 | 3 | - | Unknown |
| Guardian Securities, Incorporated CRD: 2094 | - | 0 | 0 | A | INACTIVE |
| Guardian Smart Infrastructure Management Inc. CRD: 332170 | - | 0 | 0 | - | Unknown |
| Guardian Solutions CRD: 165723 | - | 0 | 2 | - | Unknown |
| Guardian Strategic CRD: 309025 | - | 0 | 0 | - | Unknown |
| Guardian Wealth Advisors, LLC CRD: 305412 | - | 0 | 27 | - | Unknown |
| Guardian Wealth Advisors, LLC CRD: 143254 | - | 0 | 2 | - | Unknown |
| Guardian Wealth Management CRD: 148536 | - | 0 | 0 | - | Unknown |
| Guardian Wealth Management CRD: 146923 | - | 0 | 1 | - | Unknown |
| Guardian Wealth Management Inc. CRD: 154159 | - | 0 | 2 | - | Unknown |
| Guardian Wealth Management, LLC CRD: 285380 | - | 0 | 0 | - | Unknown |
| Guardian Wealth Management, LLC CRD: 118668 | - | 0 | 3 | - | Unknown |
| Guardian Wealth Partners, LLC CRD: 310203 | - | 0 | 16 | - | Unknown |
| Guardian Wealth Strategies, LLC CRD: 167485 | - | 0 | 2 | - | Unknown |
| Guardians Wealth CRD: 301646 | - | 0 | 0 | - | Unknown |
| Guardianwealth Inc. CRD: 310012 | - | 0 | 0 | - | Unknown |
| Guarente & Co. CRD: 5678 | - | 0 | 0 | A | INACTIVE |
| Guava Capital Management LP CRD: 323266 | - | 0 | 1 | - | Unknown |
| Guava Capital, LLC CRD: 316975 | - | 0 | 1 | - | Unknown |
| GUC, Inc. CRD: 103864 | - | 0 | 0 | A | INACTIVE |
| Gucciardo, Michael Anthony CRD: 42077 | - | 0 | 0 | A | INACTIVE |
| Gude Capital Management LP CRD: 285257 | - | 0 | 0 | - | Unknown |
| Gudo Partners LLC CRD: 317932 | - | 0 | 2 | - | Unknown |
| Gudorf Financial Group, LLC CRD: 339836 | - | 0 | 1 | - | Unknown |
| Guelich Capital Management, LLC CRD: 140505 | - | 0 | 3 | - | Unknown |
| Guenther Wealth Management LLC CRD: 325916 | - | 0 | 0 | - | Unknown |
| Guepardo Investimentos CRD: 167208 | - | 0 | 0 | - | Unknown |
| Guepardo Investimentos Ltda CRD: 340061 | - | 0 | 0 | - | Unknown |
| Guerin Financial Services,Ltd. CRD: 107544 | - | 0 | 0 | - | Unknown |
| Guernica Capital CRD: 311210 | - | 0 | 1 | - | Unknown |
| Guernsey Financial, LLC CRD: 299037 | - | 0 | 1 | - | Unknown |
| Guerra Investment Advisors CRD: 110564 | - | 0 | 3 | - | Unknown |
| Guerra PAN Advisors, LLC CRD: 313489 | - | 0 | 2 | - | Unknown |
| Guerra Wealth Advisors CRD: 282409 | - | 0 | 1 | - | Unknown |
| Guerrilla Advisors LLC CRD: 308921 | - | 0 | 0 | - | Unknown |
| Guest, Olds and West, PLC CRD: 147295 | - | 0 | 0 | - | Unknown |
| Guggenheim Asset-Backed Finance Company, LLC CRD: 340242 | - | 0 | 1 | - | Unknown |
| Guggenheim Distributors, LLC CRD: 40805 | - | 1 | 0 | B | INACTIVE |