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 |
|---|---|---|---|---|---|
| Harris Financial Consulting, PLLC CRD: 319760 | - | 0 | 1 | - | Unknown |
| Harris Financial Management CRD: 114627 | - | 0 | 0 | - | Unknown |
| Harris Financial Services, Inc. CRD: 113275 | - | 0 | 2 | - | Unknown |
| Harris Financial Services, LLC CRD: 104799 | - | 0 | 0 | A | INACTIVE |
| Harris Government Securities Inc. CRD: 22511 | - | 0 | 0 | A | INACTIVE |
| Harris Harper Counsel, Inc. CRD: 121746 | - | 0 | 2 | - | Unknown |
| Harris Investment Advisors LLC CRD: 118857 | - | 0 | 2 | - | Unknown |
| Harris Investorline CRD: 6580 | - | 1 | 0 | B | INACTIVE |
| Harris Investorline Inc. CRD: 6362 | - | 1 | 0 | B | INACTIVE |
| Harris Investors Direct, Inc. CRD: 17664 | - | 3 | 0 | C | INACTIVE |
| Harris Nesbitt Corp. CRD: 7299 | - | 3 | 0 | C | INACTIVE |
| Harris Preston & Partners, LLC CRD: 160068 | - | 0 | 1 | - | Unknown |
| Harris Roja Corporation CRD: 25611 | - | 0 | 0 | A | INACTIVE |
| Harris Securities, Inc. CRD: 16587 | - | 0 | 0 | A | INACTIVE |
| Harris Wealth Advisors, LLC CRD: 170938 | - | 0 | 1 | - | Unknown |
| Harris Wealth Management CRD: 169810 | - | 0 | 1 | - | Unknown |
| Harris Wealth Management, Inc. CRD: 328415 | - | 0 | 1 | - | Unknown |
| Harris Wealth Management, LLC CRD: 117184 | - | 0 | 2 | - | Unknown |
| Harris Webb & Garrison, Inc. CRD: 28188 | - | 4 | 0 | C | INACTIVE |
| Harris Williams CRD: 113930 | VA | 1 | 13 | B | Active |
| Harris Williams Primary Fund Placement LLC CRD: 131452 | - | 0 | 0 | A | INACTIVE |
| Harris | Oakmark CRD: 106960 | - | 0 | 2 | - | Unknown |
| Harrisdirect LLC CRD: 42159 | - | 3 | 0 | B | INACTIVE |
| Harrison & Horlick CRD: 145605 | - | 0 | 0 | - | Unknown |
| Harrison Capital CRD: 166854 | - | 0 | 0 | - | Unknown |
| Harrison Capital Management CRD: 130843 | - | 0 | 2 | - | Unknown |
| Harrison Capital Management LLC CRD: 284127 | - | 0 | 1 | - | Unknown |
| Harrison Douglas, Inc. CRD: 16515 | - | 11 | 0 | D | INACTIVE |
| Harrison Fiduciary Group CRD: 155845 | - | 0 | 1 | - | Unknown |
| Harrison Financial CRD: 129046 | - | 0 | 0 | - | Unknown |
| Harrison Financial Planning CRD: 311435 | - | 0 | 1 | - | Unknown |
| Harrison James Mansolf CRD: 334717 | - | 0 | 0 | - | Unknown |
| Harrison Lazarus Advisors, Inc. CRD: 144089 | - | 0 | 2 | - | Unknown |
| Harrison Lovegrove Americas L.P. CRD: 130755 | - | 0 | 0 | A | INACTIVE |
| Harrison Management CRD: 111110 | - | 0 | 0 | - | Unknown |
| Harrison Park Capital LLC CRD: 336209 | - | 0 | 1 | - | Unknown |
| Harrison Securities, Inc. CRD: 14103 | - | 12 | 0 | D | INACTIVE |
| Harrison Securities, Inc. CRD: 18260 | - | 0 | 0 | A | INACTIVE |
| Harrison Securities, Inc. CRD: 144685 | - | 0 | 1 | - | Unknown |
| Harrison Street Advisors, LLC CRD: 157983 | - | 0 | 1 | - | Unknown |
| Harrison Street Private Wealth LLC CRD: 143857 | - | 0 | 1 | - | Unknown |
| Harrison Street Securities, LLC CRD: 143103 | - | 0 | 0 | - | Unknown |
| Harrison Trading Group, LLC CRD: 40287 | - | 2 | 0 | B | INACTIVE |
| Harrison Wealth Management CRD: 283731 | - | 0 | 0 | - | Unknown |
| Harrison, Christopher CRD: 305905 | - | 0 | 1 | - | Unknown |
| Harrison, James & Co. CRD: 17515 | - | 0 | 0 | A | INACTIVE |
| Harriswilliams LLC CRD: 342308 | - | 0 | 1 | - | Unknown |
| Harrod Financial Planning CRD: 116483 | - | 0 | 0 | - | Unknown |
| Harrow Management LLC CRD: 315805 | - | 0 | 0 | - | Unknown |
| Harrow Smith Company CRD: 3436 | - | 0 | 0 | A | INACTIVE |