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 |
|---|---|---|---|---|---|
| Haber Investment Counsel CRD: 305678 | - | 0 | 0 | - | Unknown |
| Haberkorn Financial Services, Inc. CRD: 113115 | - | 0 | 2 | - | Unknown |
| Haberman Bros. CRD: 2105 | - | 1 | 0 | B | INACTIVE |
| Habersham Capital Management LLC CRD: 154681 | - | 0 | 0 | - | Unknown |
| Habersham Wealth Management, Inc. CRD: 135058 | - | 0 | 0 | - | Unknown |
| Habitat Partners Management LLC CRD: 318138 | - | 0 | 1 | - | Unknown |
| Habrok Capital Management LLP CRD: 157014 | - | 0 | 0 | - | Unknown |
| Haburn, William B CRD: 170342 | - | 0 | 0 | - | Unknown |
| Hachiko Financial USA Corp. CRD: 299816 | - | 0 | 2 | - | Unknown |
| Hack VC Advisor Series, a Series of Hack VC Adviso… CRD: 325564 | - | 0 | 1 | - | Unknown |
| Hack VC Management Company LLC CRD: 324215 | - | 0 | 1 | - | Unknown |
| Hack VC Management, LLC CRD: 315702 | - | 0 | 1 | - | Unknown |
| Hackberry Capital Management CRD: 288130 | - | 0 | 2 | - | Unknown |
| Hackert/Modesitt Investments, Ltd. CRD: 8186 | - | 0 | 0 | A | INACTIVE |
| Hacket Asset Management, Inc. CRD: 119777 | - | 0 | 2 | - | Unknown |
| Hackett & Company, Inc. CRD: 2107 | - | 0 | 0 | A | INACTIVE |
| Hackett Associates, Inc. CRD: 2106 | - | 5 | 0 | C | INACTIVE |
| Hackett Financial Group, LLC CRD: 141656 | - | 0 | 1 | - | Unknown |
| Hackman Capital Partners, LLC CRD: 305858 | - | 0 | 0 | - | Unknown |
| Hackman Capital Partners, LLC CRD: 314721 | - | 0 | 1 | - | Unknown |
| Hackman Financial Group CRD: 282027 | - | 0 | 1 | - | Unknown |
| Hadc Equities, Inc. CRD: 19871 | - | 0 | 0 | A | INACTIVE |
| Haddaway, Paul R. CPA CRD: 120562 | - | 0 | 0 | - | Unknown |
| Haddican, Bernard G CRD: 118230 | - | 0 | 0 | A | INACTIVE |
| Haddington Ventures, LLC CRD: 158231 | - | 0 | 1 | - | Unknown |
| Haddock Capital LLC CRD: 336518 | - | 0 | 1 | - | Unknown |
| Haddon Group LLC CRD: 307998 | - | 0 | 1 | - | Unknown |
| Haddon Wealth Management, LLC CRD: 226703 | - | 0 | 1 | - | Unknown |
| Haddonfield Financial Planning LLC CRD: 298177 | - | 0 | 1 | - | Unknown |
| Hadley CRD: 313400 | - | 0 | 1 | - | Unknown |
| Hadley Associates CRD: 126485 | - | 0 | 0 | - | Unknown |
| Hadley Partners, Incorporated CRD: 103897 | - | 1 | 0 | B | INACTIVE |
| Hadley-Jeming Realty,Inc. CRD: 15256 | - | 0 | 0 | A | INACTIVE |
| Hadron Capital LLP CRD: 173717 | - | 0 | 0 | - | Unknown |
| Haese Financial Group Inc CRD: 108980 | - | 0 | 4 | - | Unknown |
| Hafele Investments CRD: 341803 | - | 0 | 1 | - | Unknown |
| Hafele Investments, Inc. CRD: 318717 | - | 0 | 0 | - | Unknown |
| Hafnia Financial, Inc. CRD: 315096 | - | 0 | 1 | - | Unknown |
| Hafnium Investment CRD: 340018 | - | 0 | 0 | - | Unknown |
| Hagar Financial Corp. CRD: 42301 | - | 2 | 0 | B | INACTIVE |
| Hagar Securities Corporation CRD: 14207 | - | 0 | 0 | A | INACTIVE |
| Hagen Securities, Inc. CRD: 27353 | - | 0 | 0 | A | INACTIVE |
| Hager Investment Company, Incorporated CRD: 16791 | - | 0 | 0 | A | INACTIVE |
| Hager Investment Management Services, LLC CRD: 117097 | - | 0 | 1 | - | Unknown |
| Haggerty & Co., LLC CRD: 135134 | - | 0 | 0 | A | INACTIVE |
| Haggerty & Company, LLC CRD: 128004 | - | 0 | 0 | A | INACTIVE |
| Haggerty, Kevin Gaspar CRD: 126926 | - | 0 | 0 | A | INACTIVE |
| Hagstromer & Qviberg, Inc. CRD: 40094 | - | 1 | 0 | B | INACTIVE |
| Hahn & Company CRD: 283019 | - | 0 | 0 | - | Unknown |
| Hahn Capital Management, LLC CRD: 108911 | - | 0 | 1 | - | Unknown |