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 |
|---|---|---|---|---|---|
| Alps Distributors, Inc. CRD: 16853 | CO | 4 | 36 | B | Active |
| Alps Portfolio Solutions Distributor, Inc. CRD: 144464 | CO | 0 | 2 | A | Active |
| Alpstone Capital (Suisse) S.A. CRD: 287834 | - | 0 | 0 | - | Unknown |
| ALR Capital Advisors, LLC CRD: 167571 | - | 0 | 1 | - | Unknown |
| Alrai Management LLC CRD: 296879 | - | 0 | 0 | - | Unknown |
| Alsco Investments Inc CRD: 34544 | - | 0 | 0 | A | INACTIVE |
| Alsid Equities, Inc. CRD: 10277 | - | 0 | 0 | A | INACTIVE |
| Alsin Co. CRD: 20806 | - | 0 | 0 | A | INACTIVE |
| Alsis Funds, LLC CRD: 166032 | - | 0 | 0 | - | Unknown |
| Alsop Louie Partners CRD: 163299 | - | 0 | 1 | - | Unknown |
| Alspaugh Wealth Management CRD: 167477 | - | 0 | 1 | - | Unknown |
| Alstead, Dempsey & Company, Incorporated CRD: 4046 | - | 0 | 0 | A | INACTIVE |
| Alston Capital Advisors, LLC CRD: 165203 | - | 0 | 0 | - | Unknown |
| Alston Capital Management LLC CRD: 141385 | - | 0 | 2 | - | Unknown |
| ALT Advisors, LLC CRD: 164331 | - | 0 | 0 | - | Unknown |
| ALT Alpha Capital, LLC CRD: 338849 | - | 0 | 1 | - | Unknown |
| ALT Fund Distributors LLC CRD: 146547 | NY | 0 | 2 | A | Active |
| Alta Advisers Limited CRD: 292619 | - | 0 | 0 | - | Unknown |
| Alta Advisors LLC CRD: 167839 | - | 0 | 1 | - | Unknown |
| Alta Asset Management, LLC CRD: 339811 | - | 0 | 1 | - | Unknown |
| Alta Capital Group, LLC CRD: 136618 | - | 0 | 0 | A | INACTIVE |
| Alta Core CRD: 284428 | - | 0 | 0 | - | Unknown |
| Alta Equity Partners, LLC CRD: 162064 | - | 0 | 1 | - | Unknown |
| Alta Financial Group CRD: 145001 | - | 0 | 1 | - | Unknown |
| Alta Fundamental Advisers LLC CRD: 168642 | - | 0 | 1 | - | Unknown |
| Alta Growth Capital CRD: 162484 | - | 0 | 0 | - | Unknown |
| Alta Investment Company CRD: 6205 | - | 0 | 0 | A | INACTIVE |
| Alta Management (NZ) Limited CRD: 320775 | - | 0 | 0 | - | Unknown |
| Alta Management I, LLC CRD: 170038 | - | 0 | 0 | - | Unknown |
| Alta Park Capital, LP CRD: 169422 | - | 0 | 1 | - | Unknown |
| Alta Partners II, Inc. CRD: 160348 | - | 0 | 0 | - | Unknown |
| Alta Partners III, Inc. CRD: 160349 | - | 0 | 0 | - | Unknown |
| Alta Partners Investment Manager, L.P. CRD: 330780 | - | 0 | 1 | - | Unknown |
| Alta Partners IV, Inc. CRD: 160350 | - | 0 | 0 | - | Unknown |
| Alta Partners Management Company, L.P. CRD: 288423 | - | 0 | 1 | - | Unknown |
| Alta Securities Group,Inc. CRD: 14855 | - | 0 | 0 | A | INACTIVE |
| Alta Semper Capital LLP CRD: 309826 | - | 0 | 0 | - | Unknown |
| Alta Ventures Mexico CRD: 162944 | - | 0 | 0 | - | Unknown |
| Alta Ventures Mexico Management (GP), L.P. CRD: 163867 | - | 0 | 1 | - | Unknown |
| Alta VIA Capital CRD: 289739 | - | 0 | 1 | - | Unknown |
| Alta VIA Financial Planning CRD: 325321 | - | 0 | 2 | - | Unknown |
| Alta Vista Financial, Inc. CRD: 136980 | - | 0 | 0 | A | INACTIVE |
| Alta Wealth Advisors LLC CRD: 293675 | - | 0 | 1 | - | Unknown |
| Alta Zero Capital LP CRD: 312395 | - | 0 | 0 | - | Unknown |
| Altai Ventures Advisors, LLC CRD: 316039 | - | 0 | 1 | - | Unknown |
| Altair Advisers, LLC CRD: 120642 | - | 0 | 1 | - | Unknown |
| Altair Financial LLC CRD: 335562 | - | 0 | 0 | - | Unknown |
| Altair Industries LLC CRD: 340124 | - | 0 | 1 | - | Unknown |
| Altair Investment Management CRD: 311963 | - | 0 | 2 | - | Unknown |
| Altair Management Partners, Inc. CRD: 108333 | - | 0 | 0 | - | Unknown |