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 |
|---|---|---|---|---|---|
| Hanover Strategic Management, LLC CRD: 139908 | - | 0 | 1 | - | Unknown |
| Hanover, Sterling & Company Ltd. CRD: 15491 | - | 0 | 0 | A | INACTIVE |
| Hanrow Securities Corp. CRD: 8320 | - | 0 | 0 | A | INACTIVE |
| Hans J. Taenzer, CPA, LLC CRD: 143457 | - | 0 | 0 | - | Unknown |
| Hansa Investments LLC CRD: 291760 | - | 0 | 1 | - | Unknown |
| Hansberger Growth Investors, LP CRD: 171295 | - | 0 | 0 | - | Unknown |
| Hanscomb, Charles L. CRD: 126702 | - | 0 | 0 | - | Unknown |
| Hanseatic Corporation CRD: 162751 | - | 0 | 1 | - | Unknown |
| Hanseatic Management Services Inc CRD: 107110 | - | 0 | 1 | - | Unknown |
| Hansen & Associates Financial Group Inc. CRD: 168363 | - | 0 | 3 | - | Unknown |
| Hansen Financial Advisory LLC CRD: 145286 | - | 0 | 0 | - | Unknown |
| Hansen Wealth Management CRD: 109661 | - | 0 | 1 | - | Unknown |
| Hansen, Nancy Beth CRD: 138944 | - | 0 | 0 | A | INACTIVE |
| Hansen, Stephen, Charles CRD: 299509 | - | 0 | 0 | - | Unknown |
| Hanson & Doremus Investment Management CRD: 108045 | - | 0 | 9 | - | Unknown |
| Hanson & Hanson Incorporated CRD: 2129 | - | 0 | 0 | A | INACTIVE |
| Hanson Anderson Securities Corporation CRD: 10629 | - | 0 | 0 | A | INACTIVE |
| Hanson Financial Group CRD: 329223 | - | 0 | 2 | - | Unknown |
| Hanson-Imperatore Securities, Inc. CRD: 19302 | - | 0 | 0 | A | INACTIVE |
| Hanspeter Giger, DBA Giger Financial Planning Serv… CRD: 170098 | - | 0 | 0 | - | Unknown |
| Hantsch Stahl Securities, Inc. CRD: 14924 | - | 0 | 0 | A | INACTIVE |
| Hantz Financial Services, Inc. CRD: 46047 | MI | 6 | 44 | B | Active |
| Hanvanich Financial CRD: 148803 | - | 0 | 0 | - | Unknown |
| Hanwha Asset Management (USA) Ltd. CRD: 288464 | - | 0 | 1 | - | Unknown |
| HAO Advisors Management Limited CRD: 284180 | - | 0 | 0 | - | Unknown |
| HAO Management Ltd CRD: 163532 | - | 0 | 0 | - | Unknown |
| HAP Trading, LLC CRD: 44257 | - | 10 | 0 | D | INACTIVE |
| Hapanowicz Financial CRD: 157523 | - | 0 | 1 | - | Unknown |
| Hapax Capital LLC CRD: 312588 | - | 0 | 0 | - | Unknown |
| Hapi CRD: 311868 | OR | 0 | 2 | A | Active |
| Hapoalim Securities USA, Inc. CRD: 266 | - | 39 | 0 | F | INACTIVE |
| Happyrich Capital CRD: 305410 | - | 0 | 1 | - | Unknown |
| Hara Capital LLC CRD: 315108 | - | 0 | 2 | - | Unknown |
| Haraka Capital Management LP CRD: 314433 | - | 0 | 0 | - | Unknown |
| Harbay, Kessef & Co. CRD: 35308 | - | 5 | 0 | C | INACTIVE |
| Harbert Capital Services, Inc. CRD: 17849 | - | 0 | 0 | A | INACTIVE |
| Harbert Fund Advisors, LLC CRD: 110577 | - | 0 | 1 | - | Unknown |
| Harbinger Capital Partners LLC CRD: 160538 | - | 0 | 1 | - | Unknown |
| Harbinger Financial Consultants, LLC CRD: 283392 | - | 0 | 1 | - | Unknown |
| Harbinger Sports Partners CRD: 337984 | - | 0 | 1 | - | Unknown |
| Harbinger Ventures CRD: 298531 | - | 0 | 1 | - | Unknown |
| Harbor Advisor Services, LLC CRD: 290071 | - | 0 | 0 | - | Unknown |
| Harbor Advisors CRD: 312432 | - | 0 | 1 | - | Unknown |
| Harbor Advisory Corporation CRD: 105151 | - | 0 | 4 | - | Unknown |
| Harbor American Investment Group, Inc. CRD: 17841 | - | 0 | 0 | A | INACTIVE |
| Harbor Asset Management, Inc. CRD: 123536 | - | 0 | 0 | - | Unknown |
| Harbor Asset Planning, Inc. CRD: 144944 | - | 0 | 1 | - | Unknown |
| Harbor Capital Advisors, Inc. CRD: 113042 | - | 0 | 11 | - | Unknown |
| Harbor Capital Advisory Services, Inc. CRD: 146693 | - | 0 | 0 | - | Unknown |
| Harbor Capital Group LLC. CRD: 173812 | - | 0 | 1 | - | Unknown |