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 |
|---|---|---|---|---|---|
| Harmony Trading Company L.P. CRD: 23956 | - | 0 | 0 | A | INACTIVE |
| Harmony Wealth CRD: 314817 | - | 0 | 1 | - | Unknown |
| Harmony Wealth Advisors, LLC CRD: 315465 | - | 0 | 1 | - | Unknown |
| Harmony Wealth Management LLC CRD: 304818 | - | 0 | 2 | - | Unknown |
| Harmony Wealth Partners CRD: 330544 | - | 0 | 0 | - | Unknown |
| Harnen, Neil F. CRD: 46135 | - | 0 | 0 | A | INACTIVE |
| Harness Wealth CRD: 299795 | - | 0 | 1 | - | Unknown |
| Harnett Investment Advisers LLC CRD: 147801 | - | 0 | 2 | - | Unknown |
| Harold C. Brown & Co., Inc. CRD: 1330 | - | 0 | 0 | A | INACTIVE |
| Harold C. Brown & Co., Inc. CRD: 35222 | - | 0 | 0 | A | INACTIVE |
| Harold C. Brown & Co., LLC CRD: 126589 | - | 0 | 0 | A | INACTIVE |
| Harold Dance Investments CRD: 1582 | UT | 0 | 3 | A | Active |
| Harold Davidson & Associates, Inc CRD: 110994 | - | 0 | 1 | - | Unknown |
| Harold Dean Graff II CRD: 13912 | - | 0 | 0 | A | INACTIVE |
| Harold Pasternack CRD: 2986 | - | 0 | 0 | A | INACTIVE |
| Harold Pastron - Funded Investments CRD: 2988 | - | 0 | 0 | A | INACTIVE |
| Haron Capital Management, LLC CRD: 298059 | - | 0 | 2 | - | Unknown |
| Harper & Dolan, L.L.C. CRD: 103860 | - | 0 | 0 | A | INACTIVE |
| Harper Asset Management, LLC CRD: 116213 | - | 0 | 0 | - | Unknown |
| Harper Asset Management, LLC CRD: 334492 | - | 0 | 1 | - | Unknown |
| Harper Capital Management, LLC CRD: 299877 | - | 0 | 0 | - | Unknown |
| Harper Capital Management, Ltd. CRD: 130229 | - | 0 | 1 | - | Unknown |
| Harper Capital Partners CRD: 117772 | - | 0 | 2 | - | Unknown |
| Harper Financial Group CRD: 151758 | - | 0 | 1 | - | Unknown |
| Harper Financial Planning CRD: 333107 | - | 0 | 1 | - | Unknown |
| Harper Financial Services CRD: 141237 | - | 0 | 0 | - | Unknown |
| Harper Financial Strategies, LLC CRD: 317645 | - | 0 | 1 | - | Unknown |
| Harper Global Group CRD: 337852 | - | 0 | 0 | - | Unknown |
| Harper Wealth CRD: 313239 | - | 0 | 0 | - | Unknown |
| Harper Wealth Management LLC CRD: 339306 | - | 0 | 1 | - | Unknown |
| Harpeth Investments, Inc. CRD: 13576 | - | 0 | 0 | A | INACTIVE |
| Harpeth Securities, LLC CRD: 109821 | TN | 1 | 2 | B | Active |
| Harpo Trading, LLC CRD: 119548 | - | 0 | 0 | A | INACTIVE |
| Harpoon Management, LLC CRD: 305129 | - | 0 | 1 | - | Unknown |
| Harpoon Ventures, LLC CRD: 319432 | - | 0 | 1 | - | Unknown |
| Harpswell Capital Advisors, LLC CRD: 168996 | - | 0 | 1 | - | Unknown |
| Harraden Circle Investments, LLC CRD: 310227 | - | 0 | 1 | - | Unknown |
| Harrell Investment Partners, LLC CRD: 299166 | - | 0 | 1 | - | Unknown |
| Harren Equity Partners, LLC CRD: 158494 | - | 0 | 1 | - | Unknown |
| Harrington & Company CRD: 47129 | - | 0 | 0 | A | INACTIVE |
| Harrington Asset Management Inc CRD: 106937 | - | 0 | 0 | - | Unknown |
| Harrington Investments, Inc. CRD: 11597 | - | 0 | 0 | A | INACTIVE |
| Harrington Investments, Inc. CRD: 110790 | - | 0 | 2 | - | Unknown |
| Harrington Securities Corporation CRD: 19932 | - | 0 | 0 | A | INACTIVE |
| Harris & Associates CRD: 134066 | - | 0 | 1 | - | Unknown |
| Harris Advisors, LLC CRD: 165967 | - | 0 | 0 | - | Unknown |
| Harris and Harris Wealth Management Group, LLC CRD: 149577 | - | 0 | 1 | - | Unknown |
| Harris Associates Securities L.P. CRD: 6959 | IL | 2 | 2 | B | Active |
| Harris Consulting CRD: 286379 | - | 0 | 0 | - | Unknown |
| Harris Financial Advisors, Inc. CRD: 107510 | - | 0 | 0 | - | Unknown |