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 |
|---|---|---|---|---|---|
| HCV Management Viii, LLC CRD: 163510 | - | 0 | 1 | - | Unknown |
| HD Brous & Co., Inc. CRD: 22062 | - | 13 | 0 | D | INACTIVE |
| HD Money, Inc. CRD: 167623 | - | 0 | 2 | - | Unknown |
| HD Pinnacle Advisors, Ltd. CRD: 121179 | - | 0 | 2 | - | Unknown |
| HDA Service Corporation CRD: 6145 | - | 7 | 0 | C | INACTIVE |
| HDA Wealth Management, LLC CRD: 317346 | - | 0 | 1 | - | Unknown |
| HDC Securities, Inc. CRD: 15614 | - | 0 | 0 | A | INACTIVE |
| HDFC AMC International (Ifsc) Limited CRD: 328821 | - | 0 | 0 | - | Unknown |
| HDH Capital Management PTE. Ltd. CRD: 171649 | - | 0 | 0 | - | Unknown |
| HDI Capital LLC CRD: 277119 | - | 0 | 0 | - | Unknown |
| HDQ Wealth CRD: 313427 | - | 0 | 4 | - | Unknown |
| HDR Management L.L.C. CRD: 339189 | - | 0 | 1 | - | Unknown |
| HDS Capital Management, Inc CRD: 107424 | - | 0 | 2 | - | Unknown |
| HE'E Nalu Investing, Inc. CRD: 138278 | - | 0 | 0 | - | Unknown |
| Heacock & Jones Financial Services, Inc. CRD: 115762 | - | 0 | 0 | - | Unknown |
| Head to TOE Financial Planning CRD: 292597 | - | 0 | 0 | - | Unknown |
| Head to TOE Financial Planning CRD: 330663 | - | 0 | 1 | - | Unknown |
| Headford & Company, Incorporated CRD: 3437 | - | 0 | 0 | A | INACTIVE |
| Headinvest CRD: 140518 | - | 0 | 1 | - | Unknown |
| Headland Capital CRD: 332277 | - | 0 | 7 | - | Unknown |
| Headlands Asset Management, LLC CRD: 166791 | - | 0 | 1 | - | Unknown |
| Headlands Capital CRD: 163598 | - | 0 | 1 | - | Unknown |
| Headlands Technologies Securities, LLC CRD: 288960 | IL | 0 | 4 | A | Active |
| Headless Horseman Trading, LLC CRD: 126722 | - | 1 | 0 | B | INACTIVE |
| Headlight Capital CRD: 297911 | - | 0 | 0 | - | Unknown |
| Headlight Partners CRD: 332446 | - | 0 | 1 | - | Unknown |
| Headline Growth Management, LLC CRD: 323219 | - | 0 | 1 | - | Unknown |
| Headline Management GMBH CRD: 319198 | - | 0 | 0 | - | Unknown |
| Headline Management VII, LLC CRD: 323221 | - | 0 | 1 | - | Unknown |
| Headquarters Advisory Group, LLC CRD: 125610 | - | 0 | 0 | - | Unknown |
| Heads-UP Advisory CRD: 307062 | - | 0 | 0 | - | Unknown |
| Headstock Capital Management Ltd. CRD: 309864 | - | 0 | 0 | - | Unknown |
| Headwater Investment Consulting,Inc. CRD: 133009 | - | 0 | 1 | - | Unknown |
| Headwater Ventures, LLC CRD: 325577 | - | 0 | 1 | - | Unknown |
| Headwaters BD, LLC CRD: 117042 | - | 3 | 0 | C | INACTIVE |
| Headwaters Capital CRD: 336393 | - | 0 | 1 | - | Unknown |
| Headwaters Capital CRD: 311453 | - | 0 | 0 | - | Unknown |
| Headwaters Capital, LLC CRD: 37728 | - | 2 | 0 | B | INACTIVE |
| Headwaters Financial Planning, LLC CRD: 330133 | - | 0 | 1 | - | Unknown |
| Headwaters Investment Counsel, LLC CRD: 107958 | - | 0 | 0 | - | Unknown |
| Headwaters Volatility CRD: 289831 | - | 0 | 0 | - | Unknown |
| Headway Capital Partners LLP CRD: 160893 | - | 0 | 0 | - | Unknown |
| Headway Financial Solutions, LLC CRD: 298179 | - | 0 | 0 | - | Unknown |
| Heal Financial LLC CRD: 329304 | - | 0 | 1 | - | Unknown |
| Health & Wealth Management LLC CRD: 305984 | - | 0 | 0 | - | Unknown |
| Health & Wealth Works LLC CRD: 311482 | - | 0 | 1 | - | Unknown |
| Health Catalyst Capital Management, LLC CRD: 282602 | - | 0 | 1 | - | Unknown |
| Health Employees Benefits, Inc. CRD: 40747 | - | 0 | 0 | A | INACTIVE |
| Health Evolution Partners CRD: 160418 | - | 0 | 0 | - | Unknown |
| Health Facilities Investments,Inc. CRD: 13493 | - | 0 | 0 | A | INACTIVE |