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 |
|---|---|---|---|---|---|
| Halliser LLC CRD: 316850 | - | 0 | 1 | - | Unknown |
| Hallmark Financial Group, Inc. CRD: 19033 | - | 0 | 0 | A | INACTIVE |
| Hallmark Financial, Inc. CRD: 13650 | - | 0 | 0 | A | INACTIVE |
| Hallmark Investments, Inc. CRD: 135003 | - | 8 | 0 | D | INACTIVE |
| Hallmark Securities Group, Inc. CRD: 14468 | - | 0 | 0 | A | INACTIVE |
| Halloran Trading, LLC CRD: 121440 | - | 0 | 0 | A | INACTIVE |
| Hallstatt Advisors L.P. CRD: 319512 | - | 0 | 1 | - | Unknown |
| Hallstone Ventures, LLC CRD: 336629 | - | 0 | 1 | - | Unknown |
| Halmos Capital Partners LLC CRD: 289029 | - | 0 | 1 | - | Unknown |
| Halo Advisors, LLC CRD: 175011 | - | 0 | 0 | - | Unknown |
| Halo Capital Fund Management LP CRD: 334506 | - | 0 | 1 | - | Unknown |
| Halo Capital Management, LLC CRD: 154898 | - | 0 | 2 | - | Unknown |
| Halo Experience Company CRD: 335230 | - | 0 | 1 | - | Unknown |
| Halo Investing, Inc. CRD: 283758 | - | 0 | 0 | - | Unknown |
| Halo Investment Services, LLC CRD: 325613 | - | 0 | 22 | - | Unknown |
| Halo Partners CRD: 340004 | - | 0 | 1 | - | Unknown |
| Halo Securities, LLC CRD: 279029 | IL | 0 | 2 | A | Active |
| Halofund Advisors LLC CRD: 315336 | - | 0 | 1 | - | Unknown |
| Halogen Ventures Management Company LLC CRD: 304031 | - | 0 | 1 | - | Unknown |
| Halogen Ventures Partners LLC CRD: 286046 | - | 0 | 0 | - | Unknown |
| Halpern Capital, Inc. CRD: 119895 | - | 1 | 0 | B | INACTIVE |
| Halpern Financial, Inc. CRD: 108822 | - | 0 | 0 | - | Unknown |
| Halpern, Gail R. CRD: 121781 | - | 0 | 0 | - | Unknown |
| Halpert and Company, Inc. CRD: 7094 | - | 0 | 0 | A | INACTIVE |
| Halsey Associates CRD: 281212 | - | 0 | 0 | - | Unknown |
| Halseypoint Asset Management CRD: 305194 | - | 0 | 1 | - | Unknown |
| Halter Ferguson Financial Inc CRD: 109563 | - | 0 | 2 | - | Unknown |
| Halter Financial Securities, Inc. CRD: 104093 | - | 0 | 0 | A | INACTIVE |
| Halvorson Research Associates LLC CRD: 136718 | - | 0 | 0 | - | Unknown |
| Halyard Asset Management LLC CRD: 154493 | - | 0 | 1 | - | Unknown |
| Halyard Capital Management, LLC CRD: 157672 | - | 0 | 0 | - | Unknown |
| Halyard Financial, LLC CRD: 291570 | - | 0 | 1 | - | Unknown |
| Halyard Securities, Inc. CRD: 17591 | - | 0 | 0 | A | INACTIVE |
| Hamano & Associates CRD: 135847 | - | 0 | 0 | - | Unknown |
| Hambrecht & Quist LLC CRD: 940 | - | 22 | 0 | F | INACTIVE |
| Hamby Asset Management CRD: 134450 | - | 0 | 0 | - | Unknown |
| Hamel Associates,Inc. CRD: 107128 | - | 0 | 4 | - | Unknown |
| Hamershlag Sulzberger Borg Capital Markets, Inc. CRD: 103460 | - | 7 | 0 | D | INACTIVE |
| Hamershlag, Dodeles & Co., LLC CRD: 2117 | - | 4 | 0 | C | INACTIVE |
| Hamersley Partners LLC CRD: 131134 | - | 0 | 0 | A | INACTIVE |
| Hamewith Wealth CRD: 339975 | - | 0 | 1 | - | Unknown |
| Hamilton & Company, Incorporated CRD: 7232 | - | 0 | 0 | A | INACTIVE |
| Hamilton Advisers LLC CRD: 288424 | - | 0 | 0 | - | Unknown |
| Hamilton Advisors Inc CRD: 105342 | - | 0 | 3 | - | Unknown |
| Hamilton Asset Advisers CRD: 291683 | - | 0 | 1 | - | Unknown |
| Hamilton Bohner, Inc. CRD: 14774 | - | 0 | 0 | A | INACTIVE |
| Hamilton Capital CRD: 109116 | - | 0 | 17 | - | Unknown |
| Hamilton Capital Advisors LLC CRD: 284022 | - | 0 | 3 | - | Unknown |
| Hamilton Capital Partners, LLC CRD: 314344 | - | 0 | 1 | - | Unknown |
| Hamilton Cavanaugh & Associates, Inc. CRD: 35972 | NY | 0 | 2 | A | Active |