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 |
|---|---|---|---|---|---|
| Guild Capital Management CRD: 307569 | - | 0 | 1 | - | Unknown |
| Guild Garage Group LLC CRD: 331321 | - | 0 | 1 | - | Unknown |
| Guild Investment Management, Inc. CRD: 108390 | - | 0 | 1 | - | Unknown |
| Guilford Financial Group, Inc. CRD: 124066 | - | 0 | 0 | - | Unknown |
| Guilmette & Company Inc CRD: 129317 | - | 0 | 0 | - | Unknown |
| Guinan & Company, Inc. CRD: 15435 | - | 0 | 0 | A | INACTIVE |
| Guinea Value Investments CRD: 332102 | - | 0 | 1 | - | Unknown |
| Guinness Atkinson Asset Management, Inc. CRD: 124465 | - | 0 | 1 | - | Unknown |
| Guinness Global Investors CRD: 140891 | - | 0 | 0 | - | Unknown |
| Guinness Mahon Incorporated CRD: 14258 | - | 0 | 0 | A | INACTIVE |
| Guiry Capital Management, LLC CRD: 122056 | - | 0 | 1 | - | Unknown |
| Guitarist James Tomaskovics LLC CRD: 299623 | - | 0 | 0 | - | Unknown |
| Guitian Wealth Management, LLC CRD: 171732 | - | 0 | 1 | - | Unknown |
| Gulati Asset Management LLC CRD: 129092 | - | 0 | 2 | - | Unknown |
| Gulden Securities, Inc. CRD: 17071 | - | 0 | 0 | A | INACTIVE |
| Gulf Capital Limited CRD: 301567 | - | 0 | 0 | - | Unknown |
| Gulf Coast Asset Management Company LLC CRD: 335340 | - | 0 | 1 | - | Unknown |
| Gulf Coast Equities, Inc. CRD: 24763 | - | 0 | 0 | A | INACTIVE |
| Gulf Coast Financial Advisors CRD: 329092 | - | 0 | 2 | - | Unknown |
| Gulf Coast Investment Consulting CRD: 339147 | - | 0 | 1 | - | Unknown |
| Gulf Coast Investment Management CRD: 121554 | - | 0 | 2 | - | Unknown |
| Gulf Coast RIA CRD: 317550 | - | 0 | 1 | - | Unknown |
| Gulf Coast Securities Corporation CRD: 2098 | - | 0 | 0 | A | INACTIVE |
| Gulf Financial Services, Inc. CRD: 24306 | - | 0 | 0 | A | INACTIVE |
| Gulf International Bank (UK) Limited CRD: 281609 | - | 0 | 0 | - | Unknown |
| Gulf Pacific Securities, Inc. CRD: 16056 | - | 0 | 0 | A | INACTIVE |
| Gulf Securities Corporation CRD: 13045 | - | 0 | 0 | A | INACTIVE |
| Gulf South Equities, Inc. CRD: 13545 | - | 0 | 0 | A | INACTIVE |
| Gulf South Securities, Inc CRD: 149899 | - | 0 | 0 | A | INACTIVE |
| Gulf Stream Asset Management CRD: 300673 | - | 0 | 0 | - | Unknown |
| Gulf Stream Asset Management Ltd. CRD: 284244 | - | 0 | 0 | - | Unknown |
| Gulfcrest Capital CRD: 314412 | - | 0 | 1 | - | Unknown |
| Gulfside Asset Management, LLC CRD: 138264 | - | 0 | 0 | - | Unknown |
| Gulfside Securities, Inc. CRD: 15447 | - | 0 | 0 | A | INACTIVE |
| Gulfstar Group I, Ltd. CRD: 28922 | TX | 0 | 2 | A | Active |
| Gulfstream Asset Management CRD: 330914 | - | 0 | 1 | - | Unknown |
| Gulfstream Capital CRD: 165832 | - | 0 | 2 | - | Unknown |
| Gulfstream Capital, LLC CRD: 120669 | - | 0 | 1 | - | Unknown |
| Gulfstream CM, LLC CRD: 165459 | - | 0 | 1 | - | Unknown |
| Gulfstream Financial Group LLC CRD: 136475 | - | 0 | 2 | - | Unknown |
| Gulfstream Securities, Inc. CRD: 16792 | - | 0 | 0 | A | INACTIVE |
| Gullane Capital, LLC CRD: 313464 | - | 0 | 1 | - | Unknown |
| Gulledge Securities Corporation CRD: 13391 | - | 0 | 0 | A | INACTIVE |
| Gullo Financial Management CRD: 123368 | - | 0 | 0 | - | Unknown |
| Gumi Cryptos Capital LLC CRD: 316982 | - | 0 | 1 | - | Unknown |
| Gump and Mchugh Asset Management CRD: 118259 | - | 0 | 2 | - | Unknown |
| Gumshoe Capital Management LLC CRD: 328451 | - | 0 | 1 | - | Unknown |
| Gumtree Capital Advisors LLP CRD: 305767 | - | 0 | 0 | - | Unknown |
| Gunder Wealth Management, LLC CRD: 301258 | - | 0 | 2 | - | Unknown |
| Gunderson Capital Management CRD: 140795 | - | 0 | 1 | - | Unknown |