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 |
|---|---|---|---|---|---|
| Hatchet Financial, LLC CRD: 335969 | - | 0 | 1 | - | Unknown |
| Hatchett Capital Group, Inc. CRD: 25012 | - | 0 | 0 | A | INACTIVE |
| Hatefi, NMN Reza CRD: 112034 | - | 0 | 0 | A | INACTIVE |
| Hatfield Insurance & Financial Services, Inc. CRD: 169941 | - | 0 | 1 | - | Unknown |
| Hathaway Advisory CRD: 337833 | - | 0 | 1 | - | Unknown |
| Hathaway Capital Management, LLC CRD: 292255 | - | 0 | 1 | - | Unknown |
| Hathaway Financial LLC CRD: 298378 | - | 0 | 1 | - | Unknown |
| Hathaway Securities, Inc. CRD: 13164 | - | 0 | 0 | A | INACTIVE |
| Hather, Robert K CRD: 139951 | - | 0 | 1 | - | Unknown |
| Hatteras Capital Distributors, LLC CRD: 143365 | NC | 0 | 2 | A | Active |
| Hatteras Capital, Incorporated CRD: 21835 | - | 0 | 0 | A | INACTIVE |
| Hatteras Investment Partners, LP CRD: 170628 | - | 0 | 1 | - | Unknown |
| Hatteras Venture Partners CRD: 161493 | - | 0 | 0 | - | Unknown |
| Hatteras Venture Partners CRD: 161494 | - | 0 | 0 | - | Unknown |
| Hatteras Venture Partners CRD: 289173 | - | 0 | 1 | - | Unknown |
| Hatteras Venture Partners CRD: 304184 | - | 0 | 1 | - | Unknown |
| Hatteras Venture Partners CRD: 320715 | - | 0 | 1 | - | Unknown |
| Hatteras Venture Partners CRD: 161495 | - | 0 | 1 | - | Unknown |
| Hatteras Venture Partners CRD: 161496 | - | 0 | 1 | - | Unknown |
| Hattier, Sanford & Reynoir, a Limited Partnership,… CRD: 2148 | - | 14 | 0 | D | INACTIVE |
| Hatton Consulting, Inc. CRD: 115585 | - | 0 | 0 | - | Unknown |
| Hauge Wealth Management, LLC CRD: 319248 | - | 0 | 1 | - | Unknown |
| Haukedahl Financial Services CRD: 115530 | - | 0 | 0 | - | Unknown |
| Hauldren, Ryan T CRD: 112574 | - | 1 | 0 | B | INACTIVE |
| Haun Ventures Management LP CRD: 318409 | - | 0 | 1 | - | Unknown |
| Hauser & Co. CRD: 13879 | - | 0 | 0 | A | INACTIVE |
| Hauser Retirement Solutions 2 LLC CRD: 299959 | - | 0 | 5 | - | Unknown |
| Hauser Retirement Solutions, LLC CRD: 172578 | - | 0 | 0 | - | Unknown |
| Hausman Advisors, LLC CRD: 152681 | - | 0 | 0 | - | Unknown |
| Haussmann 1864 Capital Management LLC CRD: 332278 | - | 0 | 1 | - | Unknown |
| Haussmann Financial Inc. CRD: 110747 | - | 0 | 0 | - | Unknown |
| HAV Capital CRD: 166771 | - | 0 | 0 | - | Unknown |
| Havaplan Financial CRD: 285636 | - | 0 | 1 | - | Unknown |
| Havcor, Inc. CRD: 15015 | - | 0 | 0 | A | INACTIVE |
| Have RIA, Inc. CRD: 327137 | - | 0 | 1 | - | Unknown |
| Havelet BAY Capital International Ltd. CRD: 340712 | - | 0 | 0 | - | Unknown |
| Haveli Global Securities, LLC CRD: 323042 | TX | 0 | 2 | A | Active |
| Haveli Investment Management LLC CRD: 316470 | - | 0 | 2 | - | Unknown |
| Haven Asset Management (Insurance) LLC CRD: 292711 | - | 0 | 0 | - | Unknown |
| Haven Asset Management (Interval Funds) LLC CRD: 317239 | - | 0 | 0 | - | Unknown |
| Haven Capital Advisors, LLC CRD: 338419 | - | 0 | 1 | - | Unknown |
| Haven Capital Group CRD: 149641 | - | 0 | 1 | - | Unknown |
| Haven Capital Partners CRD: 335627 | - | 0 | 1 | - | Unknown |
| Haven Fiduciary Returns Ltd CRD: 340126 | - | 0 | 1 | - | Unknown |
| Haven Financial Advisors CRD: 118607 | - | 0 | 2 | - | Unknown |
| Haven Financial Partners LLC CRD: 336748 | - | 0 | 2 | - | Unknown |
| Haven Financial Solutions, Inc CRD: 156422 | - | 0 | 1 | - | Unknown |
| Haven Global Partners, LLC CRD: 289472 | - | 0 | 1 | - | Unknown |
| Haven Money CRD: 288696 | - | 0 | 0 | - | Unknown |
| Haven Private CRD: 329012 | - | 0 | 1 | - | Unknown |