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 |
|---|---|---|---|---|---|
| GVC Capital LLC CRD: 38923 | CO | 4 | 2 | B | Active |
| GVM Advisors LLC CRD: 318913 | - | 0 | 1 | - | Unknown |
| GVP Climate LP CRD: 330720 | - | 0 | 0 | - | Unknown |
| GVR Company CRD: 31172 | - | 4 | 0 | C | INACTIVE |
| GVR Investment Management, Inc. CRD: 106365 | - | 0 | 2 | - | Unknown |
| GVS Financial Group, Inc. CRD: 129337 | - | 0 | 2 | - | Unknown |
| GW & Wade Asset Management Company, LLC CRD: 25745 | - | 0 | 0 | A | INACTIVE |
| GW & Wade, LLC CRD: 105394 | - | 0 | 0 | - | Unknown |
| GW Asena PTY Ltd CRD: 323005 | - | 0 | 1 | - | Unknown |
| GW Capital Inc CRD: 104698 | - | 0 | 0 | - | Unknown |
| GW Financial CRD: 110478 | - | 0 | 2 | - | Unknown |
| GW&K Investment Management, LLC CRD: 121942 | - | 0 | 1 | - | Unknown |
| GWA Capital Partners, LLC CRD: 122698 | - | 0 | 0 | - | Unknown |
| GWA Wealth CRD: 339478 | - | 0 | 1 | - | Unknown |
| Gwan Global Services, Corp. CRD: 300717 | - | 0 | 1 | - | Unknown |
| Gwblake & Company CRD: 310742 | - | 0 | 2 | - | Unknown |
| GWD Capital Management, LLC CRD: 310471 | - | 0 | 1 | - | Unknown |
| Gwendolyn J. Floyd, CPA, CFP(R) CRD: 155152 | - | 0 | 1 | - | Unknown |
| Gwendolyn R Paine Portfolios, LLC CRD: 150472 | - | 0 | 0 | - | Unknown |
| GWF Securities, Corp. CRD: 10344 | - | 0 | 0 | A | INACTIVE |
| Gwin/Slaughter Securities, Inc. CRD: 15371 | - | 0 | 0 | A | INACTIVE |
| GWL Financial Services, Inc. CRD: 16542 | - | 0 | 0 | A | INACTIVE |
| GWM Group, Inc. CRD: 42844 | - | 2 | 0 | B | INACTIVE |
| GWN Securities Inc. CRD: 128929 | FL | 2 | 445 | B | Active |
| Gwop CRD: 322080 | - | 0 | 0 | - | Unknown |
| GWR Investments, Inc. CRD: 25312 | - | 2 | 0 | B | INACTIVE |
| Gwynedd Wealth Partners, LLC CRD: 165721 | - | 0 | 2 | - | Unknown |
| GWYNN Management Co CRD: 105295 | - | 0 | 0 | - | Unknown |
| GX Ventures LLC CRD: 342896 | - | 0 | 1 | - | Unknown |
| GX2 Spread Markets, LLC CRD: 171355 | - | 0 | 0 | A | INACTIVE |
| Gxii Inc. CRD: 315095 | - | 0 | 2 | - | Unknown |
| GXM Ventures LLC CRD: 328874 | - | 0 | 1 | - | Unknown |
| Gydiar Financial, LLP CRD: 119918 | - | 0 | 0 | - | Unknown |
| Gygi Capital Management CRD: 149662 | - | 0 | 1 | - | Unknown |
| GYL Financial Synergies, LLC CRD: 284758 | - | 0 | 0 | - | Unknown |
| GYL Financial, LLC CRD: 284259 | - | 0 | 0 | - | Unknown |
| Gyon Technologies Capital Management LP CRD: 305754 | - | 0 | 0 | - | Unknown |
| Gyroscope Capital Management Group LLC CRD: 142672 | - | 0 | 0 | - | Unknown |
| Gyrus Capital CRD: 334695 | - | 0 | 0 | - | Unknown |
| H & H Financial Strategies, LLC CRD: 113667 | - | 0 | 0 | - | Unknown |
| H & L Equities, LLC CRD: 113794 | GA | 0 | 2 | A | Active |
| H & N Diamond Trading, LLC CRD: 46077 | - | 0 | 0 | A | INACTIVE |
| H & P Management Corp. CRD: 14192 | - | 0 | 0 | A | INACTIVE |
| H & R Block Financial Corporation CRD: 14650 | - | 2 | 0 | B | INACTIVE |
| H & R Investments, Inc. CRD: 15961 | - | 0 | 0 | A | INACTIVE |
| H & S Financial Advisors Inc. CRD: 113418 | - | 0 | 2 | - | Unknown |
| H Capital Management Company, Ltd. CRD: 192519 | - | 0 | 0 | - | Unknown |
| H Cubed Financial Solutions CRD: 287494 | - | 0 | 1 | - | Unknown |
| H Financial Management CRD: 148209 | - | 0 | 1 | - | Unknown |
| H G I CRD: 14079 | - | 0 | 0 | A | INACTIVE |