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 |
|---|---|---|---|---|---|
| Hartwell J M Ltd Partnership CRD: 106154 | - | 0 | 0 | - | Unknown |
| Hartwood Investments CRD: 109295 | - | 0 | 0 | - | Unknown |
| Harvard Avenue Investment Advisory CRD: 291787 | - | 0 | 1 | - | Unknown |
| Harvard Capital Group Inc. CRD: 13361 | - | 0 | 0 | A | INACTIVE |
| Harvard Mountain Management, LLC CRD: 286285 | - | 0 | 0 | - | Unknown |
| Harvard Securities Corporation CRD: 18359 | - | 0 | 0 | A | INACTIVE |
| Harvard Square Financial Planning CRD: 166131 | - | 0 | 1 | - | Unknown |
| Harvest - Faith-Based Investing CRD: 338019 | - | 0 | 1 | - | Unknown |
| Harvest Advisors, LLC CRD: 120614 | - | 0 | 2 | - | Unknown |
| Harvest Asset Group, LLC CRD: 165216 | - | 0 | 0 | - | Unknown |
| Harvest Asset Management, L.P. CRD: 164671 | - | 0 | 0 | - | Unknown |
| Harvest Capital Advisors Group LLC CRD: 322632 | - | 0 | 0 | - | Unknown |
| Harvest Capital Advisors Inc. CRD: 126150 | - | 0 | 0 | - | Unknown |
| Harvest Capital Assets, LLC CRD: 269951 | - | 0 | 2 | - | Unknown |
| Harvest Capital Investments LLC CRD: 40367 | - | 8 | 0 | D | INACTIVE |
| Harvest Capital LLC CRD: 35723 | - | 1 | 0 | B | INACTIVE |
| Harvest Capital Management CRD: 299868 | - | 0 | 1 | - | Unknown |
| Harvest Capital Management Inc CRD: 106613 | - | 0 | 0 | - | Unknown |
| Harvest Capital Management, LLC CRD: 172106 | - | 0 | 1 | - | Unknown |
| Harvest Capital Partners LLC CRD: 133026 | - | 0 | 1 | - | Unknown |
| Harvest Capital Strategies LLC CRD: 130037 | - | 0 | 0 | - | Unknown |
| Harvest Equities Incorporated CRD: 13415 | - | 0 | 0 | A | INACTIVE |
| Harvest Financial Advisors, LLC CRD: 145552 | - | 0 | 5 | - | Unknown |
| Harvest Financial Group, LLC CRD: 149503 | - | 0 | 1 | - | Unknown |
| Harvest Financial Partners CRD: 146162 | - | 0 | 1 | - | Unknown |
| Harvest Financial Planning Associates, LLC CRD: 334825 | - | 0 | 1 | - | Unknown |
| Harvest Financial Planning, LLC CRD: 293982 | - | 0 | 2 | - | Unknown |
| Harvest Financial, LLC CRD: 114072 | - | 0 | 0 | - | Unknown |
| Harvest Fund Advisors LLC CRD: 154425 | - | 0 | 1 | - | Unknown |
| Harvest Global Investments Limited CRD: 157964 | - | 0 | 0 | - | Unknown |
| Harvest Group Securities, Ltd. CRD: 29959 | - | 0 | 0 | A | INACTIVE |
| Harvest Growth Capital CRD: 327883 | - | 0 | 1 | - | Unknown |
| Harvest Horizon Wealth Strategies CRD: 334859 | - | 0 | 1 | - | Unknown |
| Harvest Income Capital LLC CRD: 306429 | - | 0 | 1 | - | Unknown |
| Harvest Interests, LLC CRD: 284658 | - | 0 | 0 | - | Unknown |
| Harvest Investment Advisors, LLC CRD: 136693 | - | 0 | 1 | - | Unknown |
| Harvest Investment Consultants LLC CRD: 110258 | - | 0 | 1 | - | Unknown |
| Harvest Investment Management LLC CRD: 171243 | - | 0 | 0 | - | Unknown |
| Harvest Investment Services, LLC CRD: 159390 | - | 0 | 21 | - | Unknown |
| Harvest Lane Investment Partners, LLC. CRD: 340042 | - | 0 | 2 | - | Unknown |
| Harvest Management, L.L.C. CRD: 124477 | - | 0 | 1 | - | Unknown |
| Harvest Money | Invest Your Faith CRD: 304360 | - | 0 | 1 | - | Unknown |
| Harvest OAK Capital CRD: 150073 | - | 0 | 0 | - | Unknown |
| Harvest Partners, LP CRD: 158284 | - | 0 | 1 | - | Unknown |
| Harvest Portfolio Management, LLC CRD: 299005 | - | 0 | 2 | - | Unknown |
| Harvest Returns, Inc CRD: 324236 | - | 0 | 1 | - | Unknown |
| Harvest Securities, Inc. CRD: 17063 | - | 0 | 0 | A | INACTIVE |
| Harvest USA CRD: 165614 | - | 1 | 0 | B | INACTIVE |
| Harvest Volatility Management, LLC CRD: 146869 | - | 0 | 0 | - | Unknown |
| Harvest Wealth Advisors Inc CRD: 157937 | - | 0 | 0 | - | Unknown |