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 |
|---|---|---|---|---|---|
| Hammond Iles Wealth Advisors CRD: 136372 | - | 0 | 9 | - | Unknown |
| Hammond Interests Inc. CRD: 21993 | - | 0 | 0 | A | INACTIVE |
| Hammond Investment Management, LLC CRD: 123015 | - | 0 | 2 | - | Unknown |
| Hammond Investment Planning Corporation CRD: 115526 | - | 0 | 0 | - | Unknown |
| Hammond Investments Hammond Zuro, Inc. CRD: 42606 | - | 0 | 0 | A | INACTIVE |
| Hammond Securities, Inc. CRD: 31072 | - | 0 | 0 | A | INACTIVE |
| Hammond Wealth Partners CRD: 338574 | - | 0 | 2 | - | Unknown |
| Hammond, Kennedy, Whitney & Company, Inc. CRD: 161288 | - | 0 | 1 | - | Unknown |
| Hammond, Peters & Smith, Inc. CRD: 10501 | - | 0 | 0 | A | INACTIVE |
| Hampel Investment Advisors CRD: 300246 | - | 0 | 1 | - | Unknown |
| Hampshire Family Office CRD: 319697 | - | 0 | 0 | - | Unknown |
| Hampshire Family Office CRD: 323432 | - | 0 | 3 | - | Unknown |
| Hampshire Securities Corporation CRD: 19725 | - | 0 | 0 | A | INACTIVE |
| Hampshire Trading, LLC CRD: 133323 | - | 0 | 0 | A | INACTIVE |
| Hampton Asset Advisors, LLC CRD: 172399 | - | 0 | 0 | - | Unknown |
| Hampton Capital Management Corp. CRD: 26109 | - | 0 | 0 | A | INACTIVE |
| Hampton Financial Services CRD: 124050 | - | 0 | 2 | - | Unknown |
| Hampton Hedge Fund Marketing, LLC CRD: 141685 | - | 0 | 0 | A | INACTIVE |
| Hampton Park Financial Planners CRD: 317332 | - | 0 | 3 | - | Unknown |
| Hampton River Partners, LLC CRD: 304829 | - | 0 | 1 | - | Unknown |
| Hampton Rock Wealth Management CRD: 331682 | - | 0 | 1 | - | Unknown |
| Hampton Securities (USA), Inc. CRD: 46816 | - | 3 | 0 | C | INACTIVE |
| Hampton Securities, Inc. CRD: 16660 | - | 0 | 0 | A | INACTIVE |
| Hampton-Porter, Investment Bankers, a California L… CRD: 42949 | - | 11 | 0 | D | INACTIVE |
| Hamptonrock Partners CRD: 306647 | TX | 0 | 2 | A | Active |
| Hamrick Financial Services CRD: 114750 | - | 0 | 0 | - | Unknown |
| Hamrick Financial, LLC CRD: 148587 | - | 0 | 1 | - | Unknown |
| Hamrick Investment Counsel, LLC CRD: 116314 | - | 0 | 1 | - | Unknown |
| Hamsher Wealth Management, LLC CRD: 284018 | - | 0 | 1 | - | Unknown |
| Hamza Invests Fund Manager LLC CRD: 329937 | - | 0 | 1 | - | Unknown |
| HAN River Partners CRD: 318906 | - | 0 | 1 | - | Unknown |
| Hana Global Markets, LLC CRD: 167857 | - | 0 | 0 | - | Unknown |
| Hana Road Capital LLC CRD: 145884 | - | 0 | 0 | - | Unknown |
| Hanabi Capital Management, LLC CRD: 335031 | - | 0 | 1 | - | Unknown |
| Hanafara CRD: 340416 | - | 0 | 1 | - | Unknown |
| Hanagan Securities Corporation CRD: 19402 | - | 0 | 0 | A | INACTIVE |
| Hanai Capital, LLC CRD: 168243 | - | 0 | 0 | - | Unknown |
| Hanai Financial CRD: 328289 | - | 0 | 1 | - | Unknown |
| Hanalei, LLC CRD: 289478 | - | 0 | 1 | - | Unknown |
| Hanauer, Stern & Company,Incorporated CRD: 7077 | - | 0 | 0 | A | INACTIVE |
| Hancock & Bell Investments, Inc. CRD: 21241 | - | 0 | 0 | A | INACTIVE |
| Hancock Advisors, LLC CRD: 316070 | - | 0 | 0 | - | Unknown |
| Hancock Capital Management, Inc. CRD: 122520 | - | 0 | 0 | - | Unknown |
| Hancock Financial, Inc. CRD: 37629 | - | 1 | 0 | B | INACTIVE |
| Hancock Park Associates CRD: 160240 | - | 0 | 0 | - | Unknown |
| Hancock Wealth Advisory CRD: 119554 | - | 0 | 2 | - | Unknown |
| Hancock Whitney Investment Services Inc. CRD: 40637 | LA | 4 | 3 | B | Active |
| Hancock, Joseph & Daniels, Inc. CRD: 7023 | - | 0 | 0 | A | INACTIVE |
| Hancock-Smith, LLC CRD: 111215 | - | 0 | 0 | - | Unknown |
| Hand Capital Management CRD: 309893 | - | 0 | 0 | - | Unknown |