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 |
|---|---|---|---|---|---|
| Gunn & Co Asset Management Inc CRD: 104750 | - | 0 | 1 | - | Unknown |
| Gunn & Company Incorporated CRD: 8203 | - | 1 | 0 | B | INACTIVE |
| Gunn & Company Investment Management, Inc. CRD: 120084 | - | 0 | 1 | - | Unknown |
| Gunn Financial Advisors, LLC CRD: 319331 | - | 0 | 1 | - | Unknown |
| Gunn Wealth Management LLC CRD: 131720 | - | 0 | 1 | - | Unknown |
| Gunnallen Financial, Inc CRD: 17609 | - | 30 | 0 | F | INACTIVE |
| Gunnell Financial Planning CRD: 286076 | - | 0 | 1 | - | Unknown |
| Guochuang Securities Limited CRD: 332361 | - | 0 | 0 | - | Unknown |
| Guotai Junan Assets (Asia) Ltd CRD: 298075 | - | 0 | 0 | - | Unknown |
| Guotai Junan Securities USA, Inc. CRD: 283550 | - | 0 | 0 | A | INACTIVE |
| Gupta Cyril Investments LLC CRD: 172306 | - | 0 | 0 | - | Unknown |
| Gupta Partnership CRD: 297012 | - | 0 | 1 | - | Unknown |
| Gupta Wealth Management, LLC CRD: 161721 | - | 0 | 0 | - | Unknown |
| Gupta, Sanjay CRD: 335637 | - | 0 | 0 | - | Unknown |
| Gurley Street Wealth LLC CRD: 148761 | - | 0 | 0 | - | Unknown |
| Gurnee Group, LLC CRD: 330771 | - | 0 | 1 | - | Unknown |
| Gurney Financial CRD: 175008 | - | 0 | 0 | - | Unknown |
| Gurniak Financial Advisors, Inc. CRD: 119905 | - | 0 | 1 | - | Unknown |
| Gurtin Municipal Bond Management CRD: 143597 | - | 0 | 0 | - | Unknown |
| Guru Investment Services, Ltd. CRD: 104372 | - | 0 | 0 | A | INACTIVE |
| Gurufocus Investments, LLC CRD: 316414 | - | 0 | 1 | - | Unknown |
| Gurun Investment Advisors, Inc. CRD: 37503 | - | 0 | 0 | A | INACTIVE |
| Gussio Investment Securities, Inc. CRD: 13077 | - | 0 | 0 | A | INACTIVE |
| Gustafson Baxter Financial Services Inc CRD: 110289 | - | 0 | 0 | - | Unknown |
| Gustafson Financial Solutions CRD: 130591 | - | 0 | 1 | - | Unknown |
| Gustafson Financial, Inc. CRD: 16194 | - | 3 | 0 | C | INACTIVE |
| Gustaitis, Alan Robert CRD: 119023 | - | 0 | 0 | A | INACTIVE |
| Gustin Financial Planning LLC CRD: 172320 | - | 0 | 0 | - | Unknown |
| Gusto Brokerage, LLC CRD: 332412 | CA | 0 | 3 | A | Active |
| Gusto Investment Services, LLC CRD: 281515 | - | 0 | 1 | - | Unknown |
| Gutierrez Funds LP CRD: 339653 | - | 0 | 1 | - | Unknown |
| Gutierrez Wealth Advisory, LLC CRD: 319481 | - | 0 | 3 | - | Unknown |
| Gutman Financial Planning LLC CRD: 331668 | - | 0 | 1 | - | Unknown |
| Gutt & Company CRD: 123239 | - | 0 | 0 | - | Unknown |
| Gutt Financial Management, LLC CRD: 109270 | - | 0 | 2 | - | Unknown |
| Gutter Capital Management LLC CRD: 320795 | - | 0 | 1 | - | Unknown |
| Guttman Financial Planning CRD: 283061 | - | 0 | 1 | - | Unknown |
| Guttridge Capital Management LLC CRD: 168168 | - | 0 | 0 | - | Unknown |
| GUU LLC CRD: 143407 | - | 0 | 0 | A | INACTIVE |
| GUY Carpenter Advisors, Inc. CRD: 39453 | - | 0 | 0 | A | INACTIVE |
| Guyasuta Investment Advisors, Incorporated CRD: 13399 | - | 0 | 0 | A | INACTIVE |
| Guyasuta Investment Advisors, Incorporated CRD: 108400 | - | 0 | 2 | - | Unknown |
| Guzek Asset Management CRD: 139486 | - | 0 | 2 | - | Unknown |
| Guzhuna Asset Management CRD: 338969 | - | 0 | 1 | - | Unknown |
| Guzman & Company CRD: 21013 | FL | 5 | 5 | B | Active |
| Guzman Wealth Management CRD: 304861 | - | 0 | 1 | - | Unknown |
| GV Black Capital Management, LLC CRD: 315456 | - | 0 | 1 | - | Unknown |
| GV Investment Managers, LLC CRD: 297587 | - | 0 | 1 | - | Unknown |
| GV Lane Advisors, LLC CRD: 300585 | - | 0 | 0 | - | Unknown |
| GVC Americas, LLC CRD: 323780 | - | 0 | 1 | - | Unknown |