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 |
|---|---|---|---|---|---|
| Harry B. Banzhaf & Co. CRD: 113172 | - | 0 | 0 | - | Unknown |
| Harry C. Bailey CRD: 44165 | - | 0 | 0 | A | INACTIVE |
| Harry Downs & Company, Inc. CRD: 7019 | - | 0 | 0 | A | INACTIVE |
| Harry Licursi TAX & Retirement Planning CRD: 130299 | - | 0 | 1 | - | Unknown |
| Harry R. Gardner & Co. CRD: 390 | - | 0 | 0 | A | INACTIVE |
| Harry S. Bower, LLC CRD: 140303 | - | 0 | 1 | - | Unknown |
| Harsh Wealth Management LLC CRD: 333516 | - | 0 | 1 | - | Unknown |
| Harson Capital, LLC CRD: 328979 | - | 0 | 0 | - | Unknown |
| Harspring Capital Management, LLC CRD: 170882 | - | 0 | 1 | - | Unknown |
| Hart & Patterson Financial Group CRD: 310639 | - | 0 | 0 | - | Unknown |
| Hart Capital Management, Inc. CRD: 112108 | - | 0 | 0 | - | Unknown |
| Hart Financial, LLC CRD: 116169 | - | 0 | 0 | - | Unknown |
| Hart Financial, LLC CRD: 291530 | - | 0 | 1 | - | Unknown |
| Hart Investment Management Inc. CRD: 145306 | - | 0 | 1 | - | Unknown |
| Hart Investment Management, LLC CRD: 309661 | - | 0 | 1 | - | Unknown |
| Hart Securities Corporation CRD: 10309 | - | 0 | 0 | A | INACTIVE |
| Hart Securities, Inc. CRD: 28389 | - | 0 | 0 | A | INACTIVE |
| Hart Wealth Management CRD: 338236 | - | 0 | 1 | - | Unknown |
| Hart-Patterson & Associates, Inc. CRD: 10003 | - | 0 | 0 | A | INACTIVE |
| Hartfield Financial & Insurance Services, Inc. CRD: 300408 | - | 0 | 1 | - | Unknown |
| Hartfield, Titus & Donnelly, LLC CRD: 7117 | NJ | 1 | 12 | B | Active |
| Hartford Capital Associates, LLC CRD: 104311 | - | 0 | 0 | A | INACTIVE |
| Hartford Capital Corporation CRD: 24098 | - | 0 | 0 | A | INACTIVE |
| Hartford Financial Group, Inc. CRD: 23748 | - | 0 | 0 | A | INACTIVE |
| Hartford Financial Services, Inc. CRD: 14381 | - | 0 | 0 | A | INACTIVE |
| Hartford Funds CRD: 130373 | - | 0 | 1 | - | Unknown |
| Hartford Funds CRD: 147746 | - | 0 | 41 | - | Unknown |
| Hartford Funds Distributors, LLC CRD: 45995 | PA | 4 | 4 | C | Active |
| Hartford Institutional Investors Service Co. CRD: 22363 | - | 0 | 0 | A | INACTIVE |
| Hartford Investment Management Company CRD: 106699 | - | 0 | 1 | - | Unknown |
| Hartford Securities Company, Inc. CRD: 5458 | - | 0 | 0 | A | INACTIVE |
| Harting Financial, LLC CRD: 338334 | - | 0 | 1 | - | Unknown |
| Hartland Asset Management Corp CRD: 112739 | - | 0 | 0 | - | Unknown |
| Hartland Financial Management Corporation CRD: 36499 | - | 0 | 0 | A | INACTIVE |
| Hartley Advisors Corp. CRD: 130769 | - | 0 | 1 | - | Unknown |
| Hartley Financial Advisors, Inc. CRD: 117331 | - | 0 | 0 | - | Unknown |
| Hartline Investment Corporation CRD: 106923 | - | 0 | 1 | - | Unknown |
| Hartman Financial Planning CRD: 142122 | - | 0 | 2 | - | Unknown |
| Hartman Real Assets Securities, Inc CRD: 282619 | - | 0 | 0 | A | INACTIVE |
| Hartman Securities, Inc. CRD: 20448 | - | 0 | 0 | A | INACTIVE |
| Hartman, Jeremy CRD: 152508 | - | 0 | 1 | - | Unknown |
| Hartman, Joseph John CRD: 33892 | - | 4 | 0 | C | INACTIVE |
| Hartman, William Denton CRD: 130469 | - | 0 | 1 | - | Unknown |
| Hartmann Capital, LLC CRD: 318037 | - | 0 | 1 | - | Unknown |
| Hartmann Taylor Wealth Management, LLC CRD: 310334 | - | 0 | 1 | - | Unknown |
| Hartridge House Securities, Inc. CRD: 15745 | - | 0 | 0 | A | INACTIVE |
| Hartshorne Group, LLC CRD: 150897 | - | 0 | 1 | - | Unknown |
| Hartstreet LLC CRD: 283243 | - | 0 | 0 | - | Unknown |
| Hartwell & Company CRD: 322723 | - | 0 | 2 | - | Unknown |
| Hartwell Distributors, Inc. CRD: 20759 | - | 0 | 0 | A | INACTIVE |