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 |
|---|---|---|---|---|---|
| Hahn Capital Management, LLC CRD: 147514 | - | 0 | 0 | - | Unknown |
| Hahn Financial Group CRD: 169787 | - | 0 | 1 | - | Unknown |
| Hahn Financial Services, LLC CRD: 141637 | - | 0 | 2 | - | Unknown |
| Hahn Securities, Inc. CRD: 18191 | - | 0 | 0 | A | INACTIVE |
| Haidar Capital Management LLC CRD: 159798 | - | 0 | 1 | - | Unknown |
| Haigh Brokerage Group, Ltd. CRD: 21039 | - | 0 | 0 | A | INACTIVE |
| Haigney Securities Inc. CRD: 10190 | - | 0 | 0 | A | INACTIVE |
| Haik Advisors LLC CRD: 226691 | - | 0 | 0 | - | Unknown |
| Haims Capital Ltd CRD: 340605 | - | 0 | 1 | - | Unknown |
| Haire Wealth Management, Inc. CRD: 339998 | - | 0 | 1 | - | Unknown |
| Haisman Wealth Management, Inc. CRD: 108640 | - | 0 | 0 | - | Unknown |
| Haitong International Securities (USA) Inc. CRD: 132201 | NY | 1 | 2 | B | Active |
| Haitong Securities USA LLC CRD: 281918 | - | 0 | 0 | A | INACTIVE |
| Haitou Huijin (Beijing) Consulting Service Co., Lt… CRD: 283901 | - | 0 | 0 | - | Unknown |
| Hajek Advisory Consultants, LLC CRD: 170621 | - | 0 | 0 | - | Unknown |
| Hakluyt Capital Limited CRD: 331195 | - | 0 | 0 | - | Unknown |
| Hakman & Company, Incorporated CRD: 8148 | - | 0 | 0 | A | INACTIVE |
| HAL Weber & Company CRD: 14908 | - | 0 | 0 | A | INACTIVE |
| Halal Alpha CRD: 335111 | - | 0 | 1 | - | Unknown |
| Haland Wealth Management CRD: 336453 | - | 0 | 1 | - | Unknown |
| Halberstadt Financial Consultants Inc CRD: 109462 | - | 0 | 2 | - | Unknown |
| Halbert Hargrove CRD: 105515 | - | 0 | 32 | - | Unknown |
| Halbert Wealth Management, Inc CRD: 108294 | - | 0 | 1 | - | Unknown |
| Halbert, Hargrove & Co. CRD: 2112 | - | 0 | 0 | A | INACTIVE |
| Halcyon Cabot Partners, Ltd. CRD: 32664 | - | 17 | 0 | D | INACTIVE |
| Halcyon Capital LLC CRD: 283402 | - | 0 | 0 | - | Unknown |
| Halcyon Execution Services, Inc. CRD: 26530 | - | 1 | 0 | B | INACTIVE |
| Halcyon Financial Planning, LLC CRD: 152744 | - | 0 | 0 | - | Unknown |
| Halcyon Financial Planning, LLC CRD: 172422 | - | 0 | 0 | - | Unknown |
| Halcyon Global Advisors CRD: 170600 | - | 0 | 1 | - | Unknown |
| Halcyon Investment Advisor CRD: 307785 | - | 0 | 0 | - | Unknown |
| Halcyon Investment Advisor CRD: 327727 | - | 0 | 1 | - | Unknown |
| Halcyon Investment Management, LLC CRD: 300909 | - | 0 | 1 | - | Unknown |
| Halcyon Investments CRD: 10437 | - | 0 | 0 | A | INACTIVE |
| Halcyon PM Limited CRD: 163950 | - | 0 | 0 | - | Unknown |
| Halcyon Professional Advisors CRD: 282403 | - | 0 | 1 | - | Unknown |
| Halcyon Strategic Partners LLC CRD: 171308 | - | 0 | 0 | - | Unknown |
| Halcyon Venture Partners, LLC CRD: 330456 | - | 0 | 1 | - | Unknown |
| Halcyon Ventures CRD: 338614 | - | 0 | 1 | - | Unknown |
| Halcyon Wealth Management, LLC CRD: 149076 | - | 0 | 1 | - | Unknown |
| Halder CRD: 162602 | - | 0 | 0 | - | Unknown |
| Halderman Real Asset Management, LLC CRD: 167420 | - | 0 | 0 | - | Unknown |
| Haldorson & Pincombe Investment Advisors Inc. CRD: 115023 | - | 0 | 1 | - | Unknown |
| Hale & Doerr Wealth Management LLC CRD: 301094 | - | 0 | 2 | - | Unknown |
| Hale Capital Management, LP CRD: 157220 | - | 0 | 1 | - | Unknown |
| Hale Financial Solutions, LLC CRD: 284620 | - | 0 | 1 | - | Unknown |
| Hale Partnership Capital Management, LLC CRD: 297174 | - | 0 | 1 | - | Unknown |
| Hale Securities Group, Inc. CRD: 13782 | - | 0 | 0 | A | INACTIVE |
| Haleakala Investment Advisors CRD: 124751 | - | 0 | 1 | - | Unknown |
| Halen Capital CRD: 135966 | - | 2 | 0 | B | INACTIVE |