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 |
|---|---|---|---|---|---|
| Harvest Wealth Design & Management, LLC CRD: 286130 | - | 0 | 1 | - | Unknown |
| Harvest Wealth Management LLC CRD: 316776 | - | 0 | 0 | - | Unknown |
| Harvest Wealth Planners LLC CRD: 325204 | - | 0 | 0 | - | Unknown |
| Harvested Financial, LLC CRD: 309199 | - | 0 | 1 | - | Unknown |
| Harvester Wealth, LLC CRD: 317746 | - | 0 | 1 | - | Unknown |
| Harvesting Gains Corporation CRD: 341790 | - | 0 | 1 | - | Unknown |
| Harvesting Kingdom Resources, LLC CRD: 325483 | - | 0 | 1 | - | Unknown |
| Harvestons Securities, Inc. CRD: 34509 | CO | 1 | 2 | B | Active |
| Harvestwise Wealth Planning CRD: 333146 | - | 0 | 1 | - | Unknown |
| Harvey & Companies, Inc. CRD: 124896 | - | 0 | 2 | - | Unknown |
| Harvey Capital Management Inc CRD: 106224 | - | 0 | 2 | - | Unknown |
| Harvey Capital Partners, L.P. CRD: 327590 | - | 0 | 1 | - | Unknown |
| Harvey Financial Management Co., LLC CRD: 170653 | - | 0 | 0 | - | Unknown |
| Harvey Investment Company, LLC CRD: 110482 | - | 0 | 2 | - | Unknown |
| Harvey Lindsay Investments, Inc. CRD: 13274 | - | 0 | 0 | A | INACTIVE |
| Harvey Management LLC CRD: 166120 | - | 0 | 0 | - | Unknown |
| Harvey Merson CRD: 129290 | - | 0 | 0 | - | Unknown |
| Harvey Partners, LLC CRD: 160681 | - | 0 | 1 | - | Unknown |
| Harvey Wealth Management LLC CRD: 324344 | - | 0 | 1 | - | Unknown |
| Harwick Financial Management CRD: 122964 | - | 0 | 0 | - | Unknown |
| Harwood Capital LLP CRD: 161632 | - | 0 | 0 | - | Unknown |
| Harwood Investment Group LLC CRD: 126391 | - | 0 | 2 | - | Unknown |
| Harwood Investment Strategies, L.L.C. CRD: 135383 | - | 0 | 1 | - | Unknown |
| Harwood Private Equity LLP CRD: 330340 | - | 0 | 0 | - | Unknown |
| Hasan Growney Co. Inc. CRD: 17137 | - | 0 | 0 | A | INACTIVE |
| Haseko Securities, Inc. CRD: 10176 | - | 0 | 0 | A | INACTIVE |
| Hasenberg Financial Group CRD: 326053 | - | 0 | 0 | - | Unknown |
| Hash Space LLC CRD: 331054 | - | 0 | 1 | - | Unknown |
| Hash3 LLC CRD: 326205 | - | 0 | 1 | - | Unknown |
| Hashdex Asset Management Ltd CRD: 298750 | - | 0 | 0 | - | Unknown |
| Hashira Capital CRD: 342717 | - | 0 | 1 | - | Unknown |
| Hashkey Capital Investment CRD: 315508 | - | 0 | 0 | - | Unknown |
| Hashkey Fintech Investment CRD: 318593 | - | 0 | 0 | - | Unknown |
| Hasi Securities LLC CRD: 154669 | MD | 0 | 5 | A | Active |
| Haskell Financial Services, LLC CRD: 317545 | - | 0 | 0 | - | Unknown |
| Haslet Advisors, LLC CRD: 166034 | - | 0 | 1 | - | Unknown |
| Hassell Wealth Management CRD: 297892 | - | 0 | 1 | - | Unknown |
| Hassin, Joseph CRD: 131090 | - | 0 | 0 | - | Unknown |
| Hasson Investments CRD: 158874 | - | 0 | 0 | - | Unknown |
| Hasten Consulting CRD: 334958 | - | 0 | 1 | - | Unknown |
| Hastie Financial Group CRD: 161418 | - | 0 | 1 | - | Unknown |
| Hastings Capital Group, LLC CRD: 142998 | NY | 0 | 2 | A | Active |
| Hastings Equity Partners, LLC CRD: 167499 | - | 0 | 1 | - | Unknown |
| HAT TIP Wealth Management, LLC CRD: 178517 | - | 0 | 0 | - | Unknown |
| HAT Trick Capital LLC CRD: 324504 | - | 0 | 1 | - | Unknown |
| Hatch Accelerator Fund Management LLC CRD: 309604 | - | 0 | 1 | - | Unknown |
| Hatch Biofund Management, LLC CRD: 330746 | - | 0 | 1 | - | Unknown |
| Hatch Cove Capital, LLC CRD: 324472 | - | 0 | 1 | - | Unknown |
| Hatcher & Company CRD: 7182 | - | 0 | 0 | A | INACTIVE |
| Hatcher Capital Investments, Inc. CRD: 300230 | - | 0 | 2 | - | Unknown |