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 |
|---|---|---|---|---|---|
| Hand Investment Company, Inc. CRD: 7971 | - | 0 | 0 | A | INACTIVE |
| Hand Securities, Inc CRD: 45198 | TX | 0 | 2 | A | Active |
| Handal Dunaway LLC CRD: 333166 | - | 0 | 1 | - | Unknown |
| Handcrafted Financial Values CRD: 285660 | - | 0 | 0 | - | Unknown |
| Handel, Lundborg & Co. CRD: 2125 | - | 0 | 0 | A | INACTIVE |
| Handelsbanken Markets Securities, Inc. CRD: 38485 | NY | 0 | 2 | A | Active |
| Handmade Capital Management, LLC CRD: 173843 | - | 0 | 0 | - | Unknown |
| Hands Free Investor LLC CRD: 311147 | - | 0 | 0 | - | Unknown |
| Handy & Company Financial Advisors, Inc. CRD: 154417 | - | 0 | 1 | - | Unknown |
| Hanes, Morgan & Company CRD: 1096 | - | 0 | 0 | A | INACTIVE |
| Haney Capital Management CRD: 166642 | - | 0 | 1 | - | Unknown |
| Hangar 4 Partners, LLC CRD: 129769 | - | 0 | 0 | - | Unknown |
| Hangzhou Longqi Scientific Investment Co. CRD: 305677 | - | 0 | 0 | - | Unknown |
| Hanifen, Imhoff Inc. CRD: 2126 | - | 0 | 0 | A | INACTIVE |
| Hanifen, Imhoff Inc. CRD: 44469 | - | 5 | 0 | C | INACTIVE |
| Hanifen, Imhoff Securities Corp. CRD: 10620 | - | 0 | 0 | A | INACTIVE |
| Hanke & Apolonio Wealth Advisors LLC CRD: 285315 | - | 0 | 1 | - | Unknown |
| Hankin Investment Banking CRD: 37369 | - | 1 | 0 | B | INACTIVE |
| Hankinson Wealth Advisors LLC CRD: 293628 | - | 0 | 1 | - | Unknown |
| Hankinson Wealth Management, Inc. CRD: 116565 | - | 0 | 0 | - | Unknown |
| Hanks Capital Management, LLC CRD: 168206 | - | 0 | 2 | - | Unknown |
| Hanley & Associates LLC CRD: 164916 | - | 0 | 1 | - | Unknown |
| Hanley Capital Management, LLC CRD: 150355 | - | 0 | 1 | - | Unknown |
| Hanley Investment Partners LLC CRD: 139939 | - | 0 | 0 | - | Unknown |
| Hanley Securities Corporation CRD: 10667 | - | 0 | 0 | A | INACTIVE |
| Hanlon Securities, Inc. CRD: 17897 | - | 0 | 0 | A | INACTIVE |
| Hanmaru Asset Management LLC CRD: 168659 | - | 0 | 0 | - | Unknown |
| Hanmi Asset Securities,Inc. CRD: 137893 | - | 1 | 0 | B | INACTIVE |
| Hanmi Securities, Inc. CRD: 25518 | - | 15 | 0 | D | INACTIVE |
| Hanna Financial and TAX Services CRD: 133825 | - | 0 | 2 | - | Unknown |
| Hannah Grey Ventures, LLC CRD: 314454 | - | 0 | 1 | - | Unknown |
| Hannam & Co. CRD: 285803 | - | 0 | 0 | - | Unknown |
| Hannegan Wealth Management, LLC CRD: 312062 | - | 0 | 2 | - | Unknown |
| Hannen Planning LLC CRD: 300961 | - | 0 | 0 | - | Unknown |
| Hannigan Financial, LLC CRD: 340389 | - | 0 | 2 | - | Unknown |
| Hanold Asset Management, LLC CRD: 123562 | - | 0 | 1 | - | Unknown |
| Hanover (HNVR) CRD: 296767 | - | 0 | 1 | - | Unknown |
| Hanover Advisors, Inc CRD: 119655 | - | 0 | 3 | - | Unknown |
| Hanover Capital Securities Inc. CRD: 24706 | - | 1 | 0 | B | INACTIVE |
| Hanover Equities Company CRD: 17233 | - | 0 | 0 | A | INACTIVE |
| Hanover Funds Distributor, Inc. CRD: 30331 | - | 0 | 0 | A | INACTIVE |
| Hanover Hill Capital Partners CRD: 165115 | - | 0 | 0 | - | Unknown |
| Hanover Hillcrest Holdings, LLC CRD: 129675 | - | 0 | 0 | - | Unknown |
| Hanover Investment Securities, Inc. CRD: 10983 | - | 2 | 0 | B | INACTIVE |
| Hanover Investors Management (Malta) Limited CRD: 315411 | - | 0 | 0 | - | Unknown |
| Hanover Investors Management LLP CRD: 315360 | - | 0 | 0 | - | Unknown |
| Hanover PFS CRD: 292846 | - | 0 | 0 | - | Unknown |
| Hanover Securities Corporation CRD: 7454 | - | 0 | 0 | A | INACTIVE |
| Hanover Square Securities Group Inc. CRD: 13038 | - | 0 | 0 | A | INACTIVE |
| Hanover Square Wealth Advisors LLC CRD: 336534 | - | 0 | 2 | - | Unknown |