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 |
|---|---|---|---|---|---|
| Hales Securities, LLC CRD: 104415 | - | 0 | 0 | A | INACTIVE |
| Hales TAX Solutions PLLC CRD: 331756 | - | 0 | 1 | - | Unknown |
| Haley & Summers Wealth Management, Inc. CRD: 108722 | - | 0 | 3 | - | Unknown |
| Haley - Makielski Securities, Inc. CRD: 10877 | - | 0 | 0 | A | INACTIVE |
| Haley Securities, Inc. CRD: 104124 | NE | 1 | 2 | B | Active |
| Haley, Jeffrey Thomas CRD: 46832 | - | 0 | 0 | A | INACTIVE |
| Half Court Ventures CRD: 284088 | - | 0 | 1 | - | Unknown |
| Half Dome Trading, LLC CRD: 47967 | - | 0 | 0 | A | INACTIVE |
| Half Dome Wealth Management LLC CRD: 297206 | - | 0 | 0 | - | Unknown |
| Half Moon Capital, LLC CRD: 293703 | - | 0 | 1 | - | Unknown |
| Half Moon Financial Planning, LLC CRD: 125433 | - | 0 | 0 | - | Unknown |
| Half Moon Management, LLC CRD: 210517 | - | 0 | 0 | - | Unknown |
| Half Point Management LLC CRD: 164138 | - | 0 | 0 | - | Unknown |
| Half SKY Capital (UK) Ltd CRD: 288659 | - | 0 | 0 | - | Unknown |
| Hali Browne London, CFP CRD: 121852 | - | 0 | 0 | - | Unknown |
| Halieus Investment Advisors CRD: 284482 | - | 0 | 1 | - | Unknown |
| Halifax Investment Management, L.L.C. CRD: 152789 | - | 0 | 1 | - | Unknown |
| Halite Partners, LLC CRD: 289182 | - | 0 | 0 | - | Unknown |
| Hall & Company Incorporated CRD: 13711 | - | 0 | 0 | A | INACTIVE |
| Hall & Romkema Financial Services, LLC CRD: 124609 | - | 0 | 0 | A | INACTIVE |
| Hall Asset Management Group, Inc. CRD: 166285 | - | 0 | 1 | - | Unknown |
| Hall Capital Management Company, Inc. CRD: 108141 | - | 0 | 4 | - | Unknown |
| Hall Capital Management Company, LLC CRD: 163131 | - | 0 | 1 | - | Unknown |
| Hall Capital Partners LLC CRD: 106759 | - | 0 | 0 | - | Unknown |
| Hall Capital, LLC CRD: 153961 | - | 0 | 2 | - | Unknown |
| Hall ETF Wealth Managment System Inc CRD: 150693 | - | 0 | 0 | - | Unknown |
| Hall Financial Advisors, PC CRD: 174754 | - | 0 | 2 | - | Unknown |
| Hall Financial Services, Inc CRD: 292580 | - | 0 | 1 | - | Unknown |
| Hall Financial Wellness CRD: 334520 | - | 0 | 2 | - | Unknown |
| Hall Invests CRD: 315481 | - | 0 | 0 | - | Unknown |
| Hall Private Wealth Advisors CRD: 175335 | - | 0 | 0 | - | Unknown |
| Hall Securities Corporation CRD: 13013 | - | 0 | 0 | A | INACTIVE |
| Hall Street Ventures Management, LLC CRD: 326805 | - | 0 | 1 | - | Unknown |
| Hall, Curley & Co., Inc. CRD: 19516 | - | 0 | 0 | A | INACTIVE |
| Hallador Investment Advisors, Inc. CRD: 141335 | - | 0 | 1 | - | Unknown |
| Hallador Securities Company CRD: 16136 | - | 0 | 0 | A | INACTIVE |
| Hallanger Investment Services Inc. CRD: 16145 | - | 0 | 0 | A | INACTIVE |
| Hallawell Financial Group LLC CRD: 166122 | - | 0 | 0 | - | Unknown |
| Hallco Securities, Inc. CRD: 18325 | - | 0 | 0 | A | INACTIVE |
| Halle Capital Management LP CRD: 307156 | - | 0 | 1 | - | Unknown |
| Haller Management,LLC CRD: 318399 | - | 0 | 1 | - | Unknown |
| Hallett Advisors CRD: 115970 | - | 0 | 0 | - | Unknown |
| Hallett Advisors CRD: 306187 | - | 0 | 5 | - | Unknown |
| Hallett Financial LLC. CRD: 288160 | - | 0 | 0 | - | Unknown |
| Halley Hill Wealth Management LLC CRD: 309507 | - | 0 | 1 | - | Unknown |
| Halley Venture Partners LP CRD: 288834 | - | 0 | 0 | - | Unknown |
| Hallgren Financial LLC CRD: 285749 | - | 0 | 1 | - | Unknown |
| Halliburton & Associates, Inc. CRD: 7396 | - | 5 | 0 | C | INACTIVE |
| Halliday Capital, Inc. CRD: 16547 | - | 0 | 0 | A | INACTIVE |
| Halliday Financial, LLC CRD: 31741 | NY | 1 | 5 | B | Active |