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 |
|---|---|---|---|---|---|
| Alternative Management CRD: 336489 | - | 0 | 1 | - | Unknown |
| Alternative Markets CRD: 336243 | FL | 0 | 4 | A | Active |
| Alternative Research Services, Inc CRD: 140918 | - | 0 | 0 | - | Unknown |
| Alternative Risk Strategies LLC CRD: 322479 | - | 0 | 0 | - | Unknown |
| Alternity Investment Advisors CRD: 159463 | - | 0 | 1 | - | Unknown |
| Alterra CRD: 339331 | - | 0 | 1 | - | Unknown |
| Alterra Africa Accelerator Manager CRD: 329364 | - | 0 | 0 | - | Unknown |
| Alterra IOS Manager, LLC CRD: 324445 | - | 0 | 1 | - | Unknown |
| Altes Capital, LLC CRD: 331481 | - | 0 | 1 | - | Unknown |
| Altfest Personal Wealth Management CRD: 110130 | - | 0 | 4 | - | Unknown |
| Altfund Management, LLC CRD: 319328 | - | 0 | 1 | - | Unknown |
| Althum Advisors LLC CRD: 315952 | - | 0 | 1 | - | Unknown |
| Alti LLC CRD: 298935 | - | 0 | 1 | - | Unknown |
| Alti Strategic Advisory (US) BD, LLC CRD: 304839 | - | 0 | 0 | A | INACTIVE |
| Alti Wealth Management (US International), Inc. CRD: 152104 | - | 0 | 1 | - | Unknown |
| Altima Partners LLP CRD: 161268 | - | 0 | 0 | - | Unknown |
| Altima Securities LP CRD: 145477 | - | 0 | 0 | A | INACTIVE |
| Altimeter Capital Management, LP CRD: 160017 | - | 0 | 1 | - | Unknown |
| Altimeter Wealth LLC CRD: 329420 | - | 0 | 1 | - | Unknown |
| Altio Capital US CRD: 315099 | - | 0 | 1 | - | Unknown |
| Altior Capital CRD: 316734 | - | 0 | 2 | - | Unknown |
| Altiora Financial Group, LLC CRD: 292008 | - | 0 | 1 | - | Unknown |
| Altira Group LLC CRD: 160010 | - | 0 | 1 | - | Unknown |
| Altirra Ventures Ltd. CRD: 328467 | - | 0 | 0 | - | Unknown |
| Altisource Asset Management Corporation CRD: 168897 | - | 0 | 0 | - | Unknown |
| Altitude Capital Group LLC CRD: 325198 | CA | 0 | 1 | A | Active |
| Altitude Capital Management LLC CRD: 329366 | - | 0 | 26 | - | Unknown |
| Altitude Crest Partners Inc. CRD: 325583 | - | 0 | 0 | - | Unknown |
| Altitude Ventures Management, LLC CRD: 269981 | - | 0 | 1 | - | Unknown |
| Altium Wealth Management CRD: 317691 | - | 0 | 0 | - | Unknown |
| Altium Wealth Management LLC CRD: 154719 | - | 0 | 0 | - | Unknown |
| Altius Financial Advisors, L.L.C. CRD: 118287 | - | 0 | 0 | - | Unknown |
| Altius Financial, Inc. CRD: 113268 | - | 0 | 3 | - | Unknown |
| Altius Global Management, LLC CRD: 333729 | - | 0 | 1 | - | Unknown |
| Altivolus Capital, LLC CRD: 283297 | - | 0 | 0 | - | Unknown |
| Altman & Co. CRD: 28631 | - | 0 | 0 | A | INACTIVE |
| Altman Advisors CRD: 281778 | - | 0 | 2 | - | Unknown |
| Altman Capital Management, LLC CRD: 312632 | - | 0 | 1 | - | Unknown |
| Altman Investment Management LLC CRD: 113832 | - | 0 | 1 | - | Unknown |
| Altman Sacks Corporation CRD: 305420 | - | 0 | 1 | - | Unknown |
| Altman, Brenner & Wasserman, Inc. CRD: 17498 | - | 0 | 0 | A | INACTIVE |
| Alto Capital, LLC CRD: 326790 | - | 0 | 1 | - | Unknown |
| Alto Securities Co. CRD: 19186 | - | 0 | 0 | A | INACTIVE |
| Alto Securities, LLC CRD: 153384 | - | 0 | 0 | A | INACTIVE |
| Alto Securities, LLC CRD: 318536 | TN | 0 | 2 | A | Active |
| Alto Wealth Management CRD: 168719 | - | 0 | 0 | - | Unknown |
| Alton Capital Management CRD: 306254 | - | 0 | 0 | - | Unknown |
| Alton Park Capital, LLC CRD: 288477 | - | 0 | 0 | - | Unknown |
| Alton Point Advisors, LLC CRD: 323001 | - | 0 | 1 | - | Unknown |
| Alton Road Capital, LP CRD: 332521 | - | 0 | 1 | - | Unknown |