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 |
|---|---|---|---|---|---|
| Hayne, Miller Financial, Inc. CRD: 13849 | - | 0 | 0 | A | INACTIVE |
| Haynes Barker Investment Management, LLC CRD: 120046 | - | 0 | 3 | - | Unknown |
| Haynes Financial, Inc. CRD: 131610 | - | 0 | 0 | - | Unknown |
| Haynes Investment Advisors LLC CRD: 335068 | - | 0 | 1 | - | Unknown |
| Haynie Wealth Management LLC CRD: 305852 | - | 0 | 3 | - | Unknown |
| Hays & Hays, Inc CRD: 115240 | - | 0 | 0 | - | Unknown |
| Hays Advisory, LLC CRD: 113713 | - | 0 | 0 | - | Unknown |
| Hays Capital Management, LLC CRD: 175051 | - | 0 | 0 | - | Unknown |
| Hays Financial Group, LLC CRD: 306877 | - | 0 | 4 | - | Unknown |
| Hays Securities Corporation CRD: 18051 | - | 0 | 0 | A | INACTIVE |
| Haysh Capital Management CRD: 314856 | - | 0 | 0 | - | Unknown |
| Haysley Financial Services, Inc. CRD: 145248 | - | 0 | 1 | - | Unknown |
| Haystack Financial CRD: 309555 | - | 0 | 0 | - | Unknown |
| Haystack Financial Planning CRD: 311366 | - | 0 | 1 | - | Unknown |
| Haystack Fund III GP, LLC CRD: 287659 | - | 0 | 0 | - | Unknown |
| Haystack Management Company, LLC CRD: 292586 | - | 0 | 1 | - | Unknown |
| Haywood Lane CRD: 342529 | - | 0 | 1 | - | Unknown |
| Haywood Securities (USA) Inc. CRD: 42072 | - | 3 | 0 | C | Active |
| Haywood Wealth Management CRD: 326649 | - | 0 | 1 | - | Unknown |
| Hazan Capital Management L.L.C. CRD: 123882 | - | 5 | 0 | C | INACTIVE |
| Hazard & Siegel Advisory Services LLC CRD: 151462 | - | 0 | 23 | - | Unknown |
| Hazard & Siegel, Inc. CRD: 2048 | NY | 0 | 19 | A | Active |
| Hazel Ridge Advisors, LLC CRD: 174965 | - | 0 | 1 | - | Unknown |
| Hazelview Securities (US) LLC CRD: 174811 | - | 0 | 1 | - | Unknown |
| Hazelview Securities Inc. CRD: 293469 | - | 0 | 0 | - | Unknown |
| Hazelwood Investment Advisors LLC CRD: 333703 | - | 0 | 2 | - | Unknown |
| Hazlett Management Group CRD: 324058 | - | 0 | 0 | - | Unknown |
| Hazlett Wealth Management LLC CRD: 338954 | - | 0 | 1 | - | Unknown |
| Hazlett, Burt & Watson, Inc. CRD: 396 | WV | 3 | 14 | B | Active |
| Hazoor Partners, LLC CRD: 289744 | - | 0 | 1 | - | Unknown |
| HB Capital Partners, LLC CRD: 286561 | - | 0 | 1 | - | Unknown |
| HB Korenvaes Investments, L.P. CRD: 29005 | - | 0 | 0 | A | INACTIVE |
| HB Securities, LLC CRD: 140356 | - | 2 | 0 | B | INACTIVE |
| HB Wealth CRD: 316731 | - | 0 | 80 | - | Unknown |
| HB Wealth Management, LLC CRD: 305611 | - | 0 | 0 | - | Unknown |
| HBC Financial Group, LLC CRD: 328435 | - | 0 | 2 | - | Unknown |
| HBC Financial Services, PLLC CRD: 115751 | - | 0 | 0 | - | Unknown |
| HBC Group LLC. CRD: 327012 | - | 0 | 1 | - | Unknown |
| HBC Investments CRD: 170804 | - | 0 | 1 | - | Unknown |
| HBC Wealth Management LLC CRD: 312091 | - | 0 | 0 | - | Unknown |
| Hbcu Legacy, LLC CRD: 312442 | - | 0 | 0 | - | Unknown |
| HBE Wealth Management, LLC CRD: 128315 | - | 0 | 3 | - | Unknown |
| HBH Advisors, LLC CRD: 121464 | - | 0 | 0 | A | INACTIVE |
| HBH Specialists LLC CRD: 111559 | - | 3 | 0 | C | INACTIVE |
| HBI CRD: 32182 | - | 0 | 0 | A | INACTIVE |
| HBK Capital Management CRD: 115079 | - | 0 | 1 | - | Unknown |
| HBK Finance L.P. CRD: 35607 | - | 0 | 0 | A | INACTIVE |
| HBK Global Securities L.P. CRD: 120579 | - | 0 | 0 | A | INACTIVE |
| HBK Securities Ltd. CRD: 39889 | - | 0 | 0 | A | INACTIVE |
| HBK Sorce Brokerage LLC CRD: 107690 | OH | 0 | 3 | A | Active |