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 |
|---|---|---|---|---|---|
| Hearthstone Financial Group CRD: 342648 | - | 0 | 1 | - | Unknown |
| Hearthstone Inc., a California Corporation CRD: 112226 | - | 0 | 0 | - | Unknown |
| Hearthstone | Private Wealth Management CRD: 154890 | - | 0 | 0 | - | Unknown |
| Heartland Advisors, Inc. CRD: 29433 | - | 3 | 1 | C | INACTIVE |
| Heartland Asset Management, LLC CRD: 154174 | - | 0 | 0 | - | Unknown |
| Heartland Capital Advisors, L.C. CRD: 116127 | - | 0 | 0 | - | Unknown |
| Heartland Financial Advisors, LLC CRD: 167799 | - | 0 | 0 | - | Unknown |
| Heartland Financial Services, Ltd. CRD: 120342 | - | 0 | 1 | - | Unknown |
| Heartland Group Holdings LLC CRD: 335476 | - | 0 | 1 | - | Unknown |
| Heartland Industrial Group, LLC CRD: 161323 | - | 0 | 0 | - | Unknown |
| Heartland International, Inc. CRD: 16061 | - | 0 | 0 | A | INACTIVE |
| Heartland Investment Associates, Inc. CRD: 26974 | - | 3 | 0 | C | INACTIVE |
| Heartland Investor Services, LLC CRD: 29693 | - | 3 | 0 | C | INACTIVE |
| Heartland Northeast LLC CRD: 334646 | - | 0 | 1 | - | Unknown |
| Heartland Opportunity Partners CRD: 171084 | - | 0 | 0 | - | Unknown |
| Heartland Retirement Planning Services CRD: 128141 | - | 0 | 0 | - | Unknown |
| Heartland Securities Corp. CRD: 43201 | - | 6 | 0 | C | INACTIVE |
| Heartland TFM LLC CRD: 101480 | - | 0 | 0 | A | INACTIVE |
| Heartland Trading, LLC CRD: 44346 | - | 0 | 0 | A | INACTIVE |
| Heartland Wealth Advisors, LLC CRD: 115156 | - | 0 | 0 | - | Unknown |
| Heartland Wealth Strategies LLC CRD: 299051 | - | 0 | 1 | - | Unknown |
| Heartwood Financial Services CRD: 161998 | - | 0 | 1 | - | Unknown |
| Heartwood Funds CRD: 136940 | - | 0 | 1 | - | Unknown |
| Heartwood Investments, Inc. CRD: 145668 | - | 0 | 0 | - | Unknown |
| Heartwood Partners, LLC CRD: 313052 | - | 0 | 1 | - | Unknown |
| Heartwood Wealth Advisors, LLC CRD: 300273 | - | 0 | 2 | - | Unknown |
| Heartworth Financial LLC CRD: 332065 | - | 0 | 1 | - | Unknown |
| Heath Capital Management, Inc. CRD: 120861 | - | 0 | 2 | - | Unknown |
| Heathcliff Brokerage, L.L.C. CRD: 127735 | - | 0 | 0 | A | INACTIVE |
| Heathcliff Capital Corp. CRD: 111526 | - | 0 | 0 | A | INACTIVE |
| Heathcliff Capital Corp. CRD: 102460 | - | 0 | 0 | A | INACTIVE |
| Heathcote Capital Corp CRD: 11523 | - | 0 | 0 | A | INACTIVE |
| Heather Agency, Inc. CRD: 398 | - | 3 | 0 | C | INACTIVE |
| Heathland Asset Management, LLC CRD: 165524 | - | 0 | 0 | - | Unknown |
| Heaton Financial, PC CRD: 134578 | - | 0 | 3 | - | Unknown |
| Heavener, Ogier Securities, Inc. CRD: 15672 | - | 0 | 0 | A | INACTIVE |
| Heaviside Wealth Management CRD: 148754 | - | 0 | 0 | - | Unknown |
| Heavybit, LLC CRD: 291776 | - | 0 | 1 | - | Unknown |
| Heber Fuger Wendin Inc CRD: 105668 | - | 0 | 0 | - | Unknown |
| Hebert Advisory Services Inc CRD: 106120 | - | 0 | 2 | - | Unknown |
| Hebert Investment Advisors, Inc. CRD: 141934 | - | 0 | 1 | - | Unknown |
| Heck Capital Advisors, LLC CRD: 143848 | - | 0 | 14 | - | Unknown |
| Heckman Financial & Insurance Services, Inc. CRD: 111549 | - | 0 | 3 | - | Unknown |
| Hedaya Financial LLC CRD: 315714 | - | 0 | 1 | - | Unknown |
| Hedeker Capital, LLC CRD: 299282 | - | 0 | 0 | - | Unknown |
| Hedeker Wealth LLC CRD: 124341 | - | 0 | 2 | - | Unknown |
| Hedge Data Consultants CRD: 19459 | - | 0 | 0 | A | INACTIVE |
| Hedge Fund Capital Partners, LLC CRD: 113326 | - | 4 | 0 | C | INACTIVE |
| Hedge Harbor Inc. CRD: 44324 | - | 0 | 0 | A | INACTIVE |
| Hedge Investor Services, Inc. CRD: 43995 | - | 0 | 0 | A | INACTIVE |