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 |
|---|---|---|---|---|---|
| Harbour Investment Management L.L.C. CRD: 111166 | - | 0 | 1 | - | Unknown |
| Harbour Investments, Inc. CRD: 19258 | WI | 3 | 175 | B | Active |
| Harbour Island Capital Management, LLC CRD: 340637 | - | 0 | 1 | - | Unknown |
| Harbour Litigation Funding Limited CRD: 226602 | - | 0 | 0 | - | Unknown |
| Harbour Point Capital CRD: 226521 | - | 0 | 1 | - | Unknown |
| Harbour Portfolio Advisors, LLC CRD: 165443 | - | 0 | 0 | - | Unknown |
| Harbour Square Capital Management, LLC CRD: 288918 | - | 0 | 0 | - | Unknown |
| Harbour Wealth Management Group, Inc. CRD: 314496 | - | 0 | 1 | - | Unknown |
| Harbour Wealth Partners, Inc. CRD: 122648 | - | 0 | 1 | - | Unknown |
| Harbour25 Management Services, L.L.C. CRD: 338604 | - | 0 | 0 | - | Unknown |
| Harbourfront Wealth America Inc. CRD: 306941 | - | 0 | 0 | - | Unknown |
| Harbourvest Partners, LLC CRD: 109846 | - | 0 | 1 | - | Unknown |
| Harbourvest Registered Advisers CRD: 332106 | - | 0 | 1 | - | Unknown |
| Harbourvest Registered Advisers II CRD: 341198 | - | 0 | 1 | - | Unknown |
| Harbourview Asset Management Corporation CRD: 104979 | - | 0 | 0 | - | Unknown |
| Harbourview Equity Partners, LLC CRD: 315050 | - | 0 | 1 | - | Unknown |
| Harch Capital Management, LLC CRD: 141087 | - | 0 | 0 | - | Unknown |
| Harcourt Ryder Capital, Inc. CRD: 30171 | - | 0 | 0 | A | INACTIVE |
| Hard Eight Trading, LLC CRD: 137099 | - | 8 | 0 | D | INACTIVE |
| Hardcastle Trading USA L.L.C. CRD: 126497 | - | 3 | 0 | C | INACTIVE |
| Hardee Brothers CRD: 155598 | - | 0 | 0 | - | Unknown |
| Harden, Thomas Joseph CRD: 41568 | - | 0 | 0 | A | INACTIVE |
| Harder Management Company, Inc. CRD: 105848 | - | 0 | 2 | - | Unknown |
| Hardiman Investment Management, Inc. CRD: 169861 | - | 0 | 0 | - | Unknown |
| Hardin Capital Partners, LLC CRD: 153023 | - | 0 | 2 | - | Unknown |
| Hardin Management Company CRD: 16650 | - | 0 | 0 | A | INACTIVE |
| Harding & Company CRD: 126053 | - | 0 | 1 | - | Unknown |
| Harding Advisory LLC CRD: 140041 | - | 0 | 0 | - | Unknown |
| Harding Avenue Capital CRD: 287899 | - | 0 | 0 | - | Unknown |
| Harding Financial Group CRD: 135731 | - | 0 | 1 | - | Unknown |
| Harding Loevner LP CRD: 104543 | - | 0 | 1 | - | Unknown |
| Harding Securities Inc. CRD: 17898 | - | 0 | 0 | A | INACTIVE |
| Harding Wealth Associates LLC CRD: 305090 | - | 0 | 0 | - | Unknown |
| Harding Wealth, Inc. CRD: 282686 | - | 0 | 2 | - | Unknown |
| Harding's Wealth Managers, Inc. CRD: 139542 | - | 0 | 1 | - | Unknown |
| Harding/Hall, Inc. CRD: 12959 | - | 1 | 0 | B | INACTIVE |
| Hardman Capital Management CRD: 281719 | - | 0 | 0 | - | Unknown |
| Hardman Financial Services, Inc. CRD: 35298 | - | 0 | 0 | A | INACTIVE |
| Hardman Johnston Global Advisors LLC CRD: 112500 | - | 0 | 2 | - | Unknown |
| Hardscrabble Trading LLC CRD: 38750 | - | 0 | 0 | A | INACTIVE |
| Hardtack IAS CRD: 172698 | - | 0 | 0 | - | Unknown |
| Hardware District Financial LLC CRD: 333750 | - | 0 | 1 | - | Unknown |
| Hardwick Capital Management, LLC CRD: 127719 | - | 0 | 4 | - | Unknown |
| Hardwood Natural Resources Group, LLC CRD: 290312 | - | 0 | 0 | - | Unknown |
| Hardworking Capital Advisors, LLC CRD: 226760 | - | 0 | 2 | - | Unknown |
| Hardy & Hardy Co LLC CRD: 145088 | - | 0 | 3 | - | Unknown |
| Hardy Capital Investments LLC CRD: 301991 | - | 0 | 0 | - | Unknown |
| Hardy Financial Planning CRD: 145071 | - | 0 | 1 | - | Unknown |
| Hardy Reed, LLC CRD: 141024 | - | 0 | 9 | - | Unknown |
| Harewood Partners LLC CRD: 163925 | - | 0 | 0 | - | Unknown |