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 |
|---|---|---|---|---|---|
| Harfst and Associates, Inc. CRD: 145090 | - | 0 | 1 | - | Unknown |
| Harger and Company, Inc. CRD: 10385 | LA | 1 | 3 | B | Active |
| Hargett Hunter Capital Management, LLC CRD: 305623 | - | 0 | 1 | - | Unknown |
| Hargitt Investment Services, Inc. CRD: 13056 | - | 0 | 0 | A | INACTIVE |
| Hargrave & Hopkins, Inc. CRD: 2133 | - | 0 | 0 | A | INACTIVE |
| Hark Capital Advisors LLC CRD: 339318 | - | 0 | 1 | - | Unknown |
| Hark Financial Planning CRD: 324693 | - | 0 | 1 | - | Unknown |
| Harken Capital Securities, LLC CRD: 163749 | MA | 0 | 4 | A | Active |
| Harkness Capital Management LLC CRD: 289882 | - | 0 | 1 | - | Unknown |
| Harkrider Capital Management, LLC CRD: 284929 | - | 0 | 1 | - | Unknown |
| Harlan Capital Partners LLC CRD: 163718 | - | 0 | 1 | - | Unknown |
| Harlan Financial LLC CRD: 312995 | - | 0 | 2 | - | Unknown |
| Harlan Roberts, Inc. CRD: 14092 | - | 0 | 0 | A | INACTIVE |
| Harlem Capital Partners Management Company, LLC CRD: 301531 | - | 0 | 1 | - | Unknown |
| Harlequin Trading LLC CRD: 339713 | - | 0 | 1 | - | Unknown |
| Harley Capital LLC CRD: 310046 | CT | 0 | 2 | A | Active |
| Harley Capital Management CRD: 137680 | - | 0 | 0 | - | Unknown |
| Harleysville Securities Corporation CRD: 2136 | - | 0 | 0 | A | INACTIVE |
| Harlig Financials CRD: 335800 | - | 0 | 1 | - | Unknown |
| Harloff Capital Management CRD: 119896 | - | 0 | 0 | - | Unknown |
| Harlow Capital Management LLC CRD: 133918 | - | 0 | 1 | - | Unknown |
| Harlow Wealth Management, Inc. CRD: 148315 | - | 0 | 1 | - | Unknown |
| Harman Asset Management, LLC CRD: 300387 | - | 0 | 0 | - | Unknown |
| Harman Investment Advisors CRD: 122641 | - | 0 | 1 | - | Unknown |
| Harman Rogowski & Associates CRD: 168706 | - | 0 | 0 | - | Unknown |
| Harmetz Asset Management LLC CRD: 293386 | - | 0 | 0 | - | Unknown |
| Harmetz Asset Management LLC CRD: 319552 | - | 0 | 1 | - | Unknown |
| Harmon & Co. LLC CRD: 132649 | - | 0 | 0 | A | INACTIVE |
| Harmon American Securities Company, L.P. CRD: 13837 | - | 0 | 0 | A | INACTIVE |
| Harmon Financial Advisors CRD: 126448 | - | 0 | 1 | - | Unknown |
| Harmon Financial Advisors, Inc. CRD: 155345 | - | 0 | 2 | - | Unknown |
| Harmon, Mark a CRD: 36701 | - | 1 | 0 | B | INACTIVE |
| Harmoney Capital LLC CRD: 339011 | - | 0 | 1 | - | Unknown |
| Harmoney Wealth, PLLC CRD: 307483 | - | 0 | 2 | - | Unknown |
| Harmonic Capital Partners LLP CRD: 168075 | - | 0 | 0 | - | Unknown |
| Harmonic Capital, LLC CRD: 335516 | - | 0 | 2 | - | Unknown |
| Harmonic Growth Partners, LLC CRD: 309979 | - | 0 | 1 | - | Unknown |
| Harmonic Investment Advisors CRD: 148950 | - | 0 | 1 | - | Unknown |
| Harmonic Research, Inc. CRD: 37704 | - | 3 | 0 | C | INACTIVE |
| Harmonix Management LLC CRD: 327592 | - | 0 | 0 | - | Unknown |
| Harmonized Finance, LLC CRD: 334278 | - | 0 | 1 | - | Unknown |
| Harmont Fixed Income, LLC CRD: 321151 | - | 0 | 1 | - | Unknown |
| Harmony Asset Management LLC CRD: 116069 | - | 0 | 8 | - | Unknown |
| Harmony Capital Advisors, LLC CRD: 325141 | - | 0 | 1 | - | Unknown |
| Harmony Capital Management LP CRD: 163175 | - | 0 | 1 | - | Unknown |
| Harmony Executions Inc. CRD: 141519 | - | 0 | 0 | A | INACTIVE |
| Harmony Financial Advisors, LLC CRD: 138285 | - | 0 | 0 | - | Unknown |
| Harmony Partners Management Company, LLC CRD: 164029 | - | 0 | 1 | - | Unknown |
| Harmony Point Wealth Advisors, Inc. CRD: 323643 | - | 0 | 1 | - | Unknown |
| Harmony Road Advisors CRD: 311126 | - | 0 | 3 | - | Unknown |