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 |
|---|---|---|---|---|---|
| Hawktail, LLC CRD: 299032 | - | 0 | 1 | - | Unknown |
| Hawley Advisors CRD: 139335 | - | 0 | 2 | - | Unknown |
| Hawley Personal Finance CRD: 164010 | - | 0 | 1 | - | Unknown |
| Haws Financial Planning LLC CRD: 299122 | - | 0 | 3 | - | Unknown |
| Hawser Capital Management CRD: 307742 | - | 0 | 0 | - | Unknown |
| Hawser Capital Partners LLC CRD: 309420 | - | 0 | 0 | - | Unknown |
| Hawsgoodwin Wealth CRD: 165771 | - | 0 | 0 | - | Unknown |
| Hawthorn Capital Management, LLC CRD: 140752 | - | 0 | 1 | - | Unknown |
| Hawthorne Company CRD: 15881 | - | 0 | 0 | A | INACTIVE |
| Hawthorne Distributors Corp. CRD: 25880 | - | 0 | 0 | A | INACTIVE |
| Hawthorne Financial Advisors, LLC CRD: 171569 | - | 0 | 0 | - | Unknown |
| Hawthorne Street Capital Management Company, LLC CRD: 333813 | - | 0 | 1 | - | Unknown |
| Hawthorne Wellman Financial Planning, LLC CRD: 318685 | - | 0 | 1 | - | Unknown |
| Hawtree Advisory Group, LLC CRD: 124492 | - | 0 | 2 | - | Unknown |
| Hayashi & Wayland Investment Services, LLC CRD: 167098 | - | 0 | 0 | - | Unknown |
| Haybeach Capital Management, LLC CRD: 327539 | - | 0 | 1 | - | Unknown |
| Hayden & Associates CRD: 14299 | - | 0 | 0 | A | INACTIVE |
| Hayden Burrus CRD: 277167 | - | 0 | 0 | - | Unknown |
| Hayden Capital CRD: 283201 | - | 0 | 1 | - | Unknown |
| Hayden Capital Management, Inc. CRD: 137459 | - | 0 | 0 | - | Unknown |
| Hayden Harper Wealth Advisory, LLC CRD: 152091 | - | 0 | 1 | - | Unknown |
| Hayden Lipp Registered Investment Advisor CRD: 145010 | - | 0 | 1 | - | Unknown |
| Hayden Royal CRD: 170037 | - | 0 | 0 | - | Unknown |
| Hayden Stone & Co., LLC CRD: 150872 | - | 1 | 0 | B | INACTIVE |
| Hayden, John Thomas CRD: 47327 | - | 0 | 0 | A | INACTIVE |
| Haydenrock Portfolios LLC CRD: 287654 | - | 0 | 0 | - | Unknown |
| Haydn Cutler Securities, Inc. CRD: 6576 | - | 0 | 0 | A | INACTIVE |
| Hayek Kallen Investment Management L.L.C. CRD: 106454 | - | 0 | 4 | - | Unknown |
| Hayes & Associates Accountancy Corp CRD: 108064 | - | 0 | 0 | - | Unknown |
| Hayes & Griffith, Inc. CRD: 10076 | - | 0 | 0 | A | INACTIVE |
| Hayes Asset Management, LLC CRD: 141220 | - | 0 | 1 | - | Unknown |
| Hayes Brothers, Inc. CRD: 22112 | - | 0 | 0 | A | INACTIVE |
| Hayes Buckley Group LLC CRD: 152292 | - | 0 | 0 | - | Unknown |
| Hayes Financial, Inc. CRD: 288733 | - | 0 | 0 | - | Unknown |
| Hayes Hart Cpa's Wealth Management, Inc CRD: 300030 | - | 0 | 1 | - | Unknown |
| Hayes Investment Management CRD: 113350 | - | 0 | 0 | - | Unknown |
| Hayes Wealth Advisors, LLC CRD: 299807 | - | 0 | 3 | - | Unknown |
| Hayes, Rogers, Inc. CRD: 30659 | - | 0 | 0 | A | INACTIVE |
| Hayfin Capital Management LLC CRD: 157131 | - | 0 | 1 | - | Unknown |
| Hayfin Capital Management LLP CRD: 162993 | - | 0 | 0 | - | Unknown |
| Hayfin Management Limited CRD: 298617 | - | 0 | 0 | - | Unknown |
| Hayk Capital CRD: 311500 | - | 0 | 1 | - | Unknown |
| Haykin Wealth Management, Corp CRD: 309252 | - | 0 | 3 | - | Unknown |
| Haykin, Michael CRD: 113249 | - | 0 | 2 | - | Unknown |
| Haymaker Capital, LLC CRD: 290209 | - | 0 | 0 | - | Unknown |
| Haymaker Ventures LLC CRD: 312862 | - | 0 | 1 | - | Unknown |
| Hayman Capital Management LP CRD: 146896 | - | 0 | 0 | - | Unknown |
| Hayman Woodward Wealth Management CRD: 298271 | - | 0 | 0 | - | Unknown |
| Haymarket Wealth Management LLC CRD: 164442 | - | 0 | 0 | - | Unknown |
| Hayne, Miller & Swearingen, Inc. CRD: 14479 | - | 0 | 0 | A | INACTIVE |