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 |
|---|---|---|---|---|---|
| Haven Real Estate Group, LLC CRD: 168388 | - | 0 | 0 | - | Unknown |
| Haven Venture Partners, LLC CRD: 324408 | - | 0 | 1 | - | Unknown |
| Haven Wealth Group CRD: 148099 | - | 0 | 3 | - | Unknown |
| Haven Wealth Planning CRD: 328258 | - | 0 | 1 | - | Unknown |
| Havencrest Capital Management, LLC CRD: 287944 | - | 0 | 1 | - | Unknown |
| Havens Advisors CRD: 111333 | - | 0 | 0 | - | Unknown |
| Havenshare Financial, LLC CRD: 167236 | - | 0 | 2 | - | Unknown |
| Havenworth Capital, LLC CRD: 315528 | - | 0 | 0 | - | Unknown |
| Haverdink Financial Management, LLC CRD: 131236 | - | 0 | 1 | - | Unknown |
| Haverford Financial Services, Inc. CRD: 130007 | - | 0 | 1 | - | Unknown |
| Haverford Trust Securities, Inc. CRD: 13214 | - | 3 | 0 | C | INACTIVE |
| Haverkamp Investments, Inc. CRD: 332335 | IA | 0 | 1 | A | Active |
| Havermann Financial Services, Inc. CRD: 150470 | - | 0 | 0 | - | Unknown |
| Haverstock Capital LLP CRD: 340312 | - | 0 | 0 | - | Unknown |
| Haviland & Sams, LLC CRD: 127175 | - | 0 | 1 | - | Unknown |
| Hawaii & Idaho Investors Securities Co. CRD: 15067 | - | 0 | 0 | A | INACTIVE |
| Hawaii Capital Group, Inc. CRD: 20750 | - | 0 | 0 | A | INACTIVE |
| Hawaii Securities Headquarters, Inc. CRD: 10456 | - | 0 | 0 | A | INACTIVE |
| Hawaiian Capital Securities CRD: 28453 | - | 0 | 0 | A | INACTIVE |
| Hawk Advisory LLC CRD: 332571 | - | 0 | 1 | - | Unknown |
| Hawk Capital Management LLC CRD: 172700 | - | 0 | 1 | - | Unknown |
| Hawk Capital Wealth Management LLC CRD: 309556 | - | 0 | 1 | - | Unknown |
| Hawk Equity Management LLC CRD: 300991 | - | 0 | 0 | - | Unknown |
| Hawk Ridge Capital Management LP CRD: 163818 | - | 0 | 1 | - | Unknown |
| Hawk100 CRD: 130927 | - | 0 | 1 | - | Unknown |
| Hawke Financial Group CRD: 301733 | - | 0 | 3 | - | Unknown |
| Hawke Ventures CRD: 314920 | - | 0 | 0 | - | Unknown |
| Hawke Ventures MGMT II, LLC CRD: 321628 | - | 0 | 0 | - | Unknown |
| Hawken Wealth Management CRD: 313385 | - | 0 | 2 | - | Unknown |
| Hawkes Peak Partners, LLC CRD: 336325 | - | 0 | 1 | - | Unknown |
| Hawkes Wealth Management Inc. CRD: 288925 | - | 0 | 0 | - | Unknown |
| Hawkey, John Francis CRD: 43501 | - | 1 | 0 | B | INACTIVE |
| Hawkeye Capital Advisors LLC CRD: 333942 | - | 0 | 1 | - | Unknown |
| Hawkeye Capital Management, LLC CRD: 157316 | - | 0 | 1 | - | Unknown |
| Hawkeye Investment Management LLC CRD: 153849 | - | 0 | 1 | - | Unknown |
| Hawkeye Investor Center, Inc. CRD: 36393 | - | 0 | 0 | A | INACTIVE |
| Hawkeye Partners, LP CRD: 134601 | - | 0 | 1 | - | Unknown |
| Hawkins Advisory Services, LLC CRD: 159266 | - | 0 | 0 | - | Unknown |
| Hawkins Capital Advisors CRD: 164534 | - | 0 | 1 | - | Unknown |
| Hawkins Capital L.P. CRD: 129852 | - | 0 | 0 | - | Unknown |
| Hawkins Investment Counsel, LLC CRD: 134857 | - | 0 | 5 | - | Unknown |
| Hawkins WAY Capital, LLC CRD: 281699 | - | 0 | 0 | - | Unknown |
| Hawkins Wealth Management CRD: 165615 | - | 0 | 0 | - | Unknown |
| Hawklin Securities Corporation CRD: 10832 | - | 0 | 0 | A | INACTIVE |
| Hawks I, LLC CRD: 297301 | - | 0 | 0 | - | Unknown |
| Hawks Point Capital Partners LLC CRD: 307006 | - | 0 | 1 | - | Unknown |
| Hawks Ventures CRD: 324036 | - | 0 | 0 | - | Unknown |
| Hawkshead Capital LLC CRD: 166107 | - | 0 | 0 | - | Unknown |
| Hawkshead Investments LLC CRD: 284657 | - | 0 | 0 | - | Unknown |
| Hawktail Management, LLC CRD: 321161 | - | 0 | 1 | - | Unknown |