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 |
|---|---|---|---|---|---|
| Harbor Capital Management Inc CRD: 106722 | - | 0 | 0 | - | Unknown |
| Harbor Capital Partners, LLC CRD: 342731 | - | 0 | 1 | - | Unknown |
| Harbor Crest Wealth Advisors CRD: 304194 | - | 0 | 0 | - | Unknown |
| Harbor Equities Inc. CRD: 16897 | - | 0 | 0 | A | INACTIVE |
| Harbor Financial Group, Inc. CRD: 105032 | - | 0 | 0 | - | Unknown |
| Harbor Financial Institute Ltd CRD: 340081 | - | 0 | 1 | - | Unknown |
| Harbor Financing Inc CRD: 339066 | - | 0 | 1 | - | Unknown |
| Harbor Fort Financial Advisors LLC CRD: 340834 | - | 0 | 1 | - | Unknown |
| Harbor Funds Distributors, Inc. CRD: 113506 | IL | 0 | 4 | A | Active |
| Harbor Group International, LLC CRD: 285895 | - | 0 | 1 | - | Unknown |
| Harbor Hills Financial Advisors CRD: 312691 | - | 0 | 2 | - | Unknown |
| Harbor Hills Investment Management CRD: 173089 | - | 0 | 0 | - | Unknown |
| Harbor Horizon Financial, LLC CRD: 332911 | - | 0 | 1 | - | Unknown |
| Harbor Investment Advisors CRD: 118480 | - | 0 | 2 | - | Unknown |
| Harbor Investment Advisory, LLC CRD: 151085 | MD | 0 | 4 | A | Active |
| Harbor Island Capital LLC CRD: 107457 | - | 0 | 2 | - | Unknown |
| Harbor Island Wealth Management CRD: 135856 | - | 0 | 0 | - | Unknown |
| Harbor Ithaka CRD: 170580 | - | 0 | 1 | - | Unknown |
| Harbor Light Investment Advisors, LLC CRD: 154599 | - | 0 | 0 | - | Unknown |
| Harbor Light Planning CRD: 129022 | - | 0 | 1 | - | Unknown |
| Harbor Light Securities, LLC CRD: 130227 | - | 2 | 0 | B | INACTIVE |
| Harbor Lights Financial Planning CRD: 125223 | - | 0 | 0 | - | Unknown |
| Harbor Point Capital Management, LLC CRD: 153753 | - | 0 | 1 | - | Unknown |
| Harbor Road Capital Management LLC CRD: 161364 | - | 0 | 1 | - | Unknown |
| Harbor Securities Corporation CRD: 15421 | - | 0 | 0 | A | INACTIVE |
| Harbor Spring Capital, LLC CRD: 167747 | - | 0 | 0 | - | Unknown |
| Harbor Springs Financial Management LLC CRD: 162381 | - | 0 | 0 | - | Unknown |
| Harbor Street Trading, LLC CRD: 130992 | - | 0 | 0 | A | INACTIVE |
| Harbor Town Securities Corporation CRD: 6755 | - | 0 | 0 | A | INACTIVE |
| Harbor View Advisors, LLC CRD: 151817 | FL | 0 | 3 | A | Active |
| Harbor Wealth Management CRD: 155004 | - | 0 | 0 | - | Unknown |
| Harbor Wealth Management CRD: 116038 | - | 0 | 1 | - | Unknown |
| Harbor Wealth Management, Inc. CRD: 150766 | - | 0 | 0 | - | Unknown |
| Harbor Wealth Management, LLC CRD: 153527 | - | 0 | 0 | - | Unknown |
| Harboradvisors, LLC CRD: 309594 | - | 0 | 1 | - | Unknown |
| Harborfront Financial Group CRD: 331763 | - | 0 | 1 | - | Unknown |
| Harborlight Investments, LLC CRD: 285805 | - | 0 | 2 | - | Unknown |
| Harborside Capital CRD: 300857 | - | 0 | 1 | - | Unknown |
| Harborside Securities, LLC CRD: 114053 | - | 0 | 0 | A | INACTIVE |
| Harborvest, LLC CRD: 169948 | - | 0 | 0 | - | Unknown |
| Harborview Advisors CRD: 173012 | - | 0 | 0 | - | Unknown |
| Harborview Asset Management LLC CRD: 332767 | - | 0 | 2 | - | Unknown |
| Harborview Capital Management LLC CRD: 153807 | - | 0 | 1 | - | Unknown |
| Harborview Capital Management, LLC CRD: 130935 | - | 0 | 0 | - | Unknown |
| Harbour Capital Advisors, LLC CRD: 157266 | - | 0 | 1 | - | Unknown |
| Harbour Capital Management Limited CRD: 167455 | - | 0 | 0 | - | Unknown |
| Harbour Financial Group, Ltd. CRD: 21805 | - | 0 | 0 | A | INACTIVE |
| Harbour Financial Inc. CRD: 131696 | - | 0 | 0 | - | Unknown |
| Harbour Financial Resources, Ltd CRD: 110261 | - | 0 | 3 | - | Unknown |
| Harbour Group Industries, Inc. CRD: 160634 | - | 0 | 1 | - | Unknown |