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 |
|---|---|---|---|---|---|
| Guggenheim Energy Advisors, LLC CRD: 159397 | - | 0 | 0 | A | INACTIVE |
| Guggenheim Fund Solutions, LLC CRD: 160181 | - | 0 | 0 | - | Unknown |
| Guggenheim Funds Distributors, LLC CRD: 39805 | IL | 0 | 10 | A | Active |
| Guggenheim Investment Advisors, LLC CRD: 108263 | - | 0 | 3 | - | Unknown |
| Guggenheim Investments CRD: 105477 | - | 0 | 35 | - | Unknown |
| Guggenheim Investments CRD: 129288 | - | 0 | 1 | - | Unknown |
| Guggenheim Investments Loan Advisors, LLC CRD: 339528 | - | 0 | 1 | - | Unknown |
| Guggenheim Liquidity Services, LLC CRD: 141697 | - | 0 | 0 | A | INACTIVE |
| Guggenheim Securities, LLC CRD: 40638 | NY | 10 | 19 | C | Active |
| Guggenheim Wealth Solutions, LLC CRD: 283238 | - | 0 | 1 | - | Unknown |
| Gugle Wealth Advisory CRD: 331310 | - | 0 | 1 | - | Unknown |
| Guidance Capital, Inc. CRD: 323541 | - | 0 | 1 | - | Unknown |
| Guidance Investment Advisors, LLC CRD: 154644 | - | 0 | 0 | - | Unknown |
| Guidance Investments, LLC CRD: 119897 | - | 0 | 1 | - | Unknown |
| Guidance Point Advisors, LLC CRD: 148768 | - | 0 | 5 | - | Unknown |
| Guidance Point Retirement Services, LLC CRD: 161000 | - | 0 | 5 | - | Unknown |
| Guidance Securities, LLC CRD: 121056 | VA | 0 | 2 | A | Active |
| Guidance Wealth Advisors LLC CRD: 321248 | - | 0 | 1 | - | Unknown |
| Guidant Planning, Inc. CRD: 125687 | - | 0 | 0 | - | Unknown |
| Guidant Wealth Advisors CRD: 123383 | - | 0 | 0 | - | Unknown |
| Guide Advisors, Inc. CRD: 281828 | - | 0 | 4 | - | Unknown |
| Guide Financial Planning CRD: 170734 | - | 0 | 3 | - | Unknown |
| Guide MY Finances CRD: 289013 | - | 0 | 1 | - | Unknown |
| Guide Rock Capital Management, Inc. CRD: 149820 | - | 0 | 1 | - | Unknown |
| Guide Wealth Management CRD: 264788 | - | 0 | 1 | - | Unknown |
| Guide10 Ventures LLC CRD: 331390 | - | 0 | 1 | - | Unknown |
| Guided Path Financial CRD: 340788 | - | 0 | 0 | - | Unknown |
| Guided Wealth, LLC CRD: 339013 | - | 0 | 2 | - | Unknown |
| Guidedquest, LLC CRD: 281977 | - | 0 | 1 | - | Unknown |
| Guideline Capital Management CRD: 283711 | - | 0 | 0 | - | Unknown |
| Guidepoint Financial Planning CRD: 309428 | - | 0 | 1 | - | Unknown |
| Guidepost Capital Management Group, LLC CRD: 335196 | - | 0 | 1 | - | Unknown |
| Guidepost Financial Planning, LLC CRD: 141947 | - | 0 | 1 | - | Unknown |
| Guidepost Growth Equity Management Company, L.P. CRD: 161579 | - | 0 | 1 | - | Unknown |
| Guidestone Advisors CRD: 149624 | - | 0 | 1 | - | Unknown |
| Guidestone Capital Management CRD: 112319 | - | 0 | 1 | - | Unknown |
| Guidestone Financial Services CRD: 148249 | TX | 0 | 2 | A | Active |
| Guidestone Investment Services CRD: 338335 | - | 0 | 1 | - | Unknown |
| Guidestream Financial, Inc. CRD: 150890 | - | 0 | 1 | - | Unknown |
| Guideway Financial, LLC CRD: 168317 | - | 0 | 5 | - | Unknown |
| Guidici Wealth Management LLC CRD: 330832 | - | 0 | 1 | - | Unknown |
| Guiding Financial CRD: 311779 | - | 0 | 2 | - | Unknown |
| Guiding Financial, LLC CRD: 175119 | - | 0 | 2 | - | Unknown |
| Guiding Light Wealth Strategies, LLC CRD: 285743 | - | 0 | 0 | - | Unknown |
| Guiding Star Group, LLC CRD: 145844 | - | 0 | 0 | - | Unknown |
| Guiding Wealth Management, LLC CRD: 175242 | - | 0 | 3 | - | Unknown |
| Guidon Global LLC CRD: 166393 | - | 0 | 1 | - | Unknown |
| Guidry, Vance CRD: 300406 | - | 0 | 0 | - | Unknown |
| Guilbault Asset Management CRD: 136811 | - | 0 | 0 | - | Unknown |
| Guilbault Capital CRD: 331160 | - | 0 | 1 | - | Unknown |