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 |
|---|---|---|---|---|---|
| Helfer, Broughton, Inc. CRD: 2164 | - | 0 | 0 | A | INACTIVE |
| Helford Capital Partners LLP CRD: 327219 | - | 0 | 0 | - | Unknown |
| Helianth Investment Management LLC CRD: 317326 | - | 0 | 1 | - | Unknown |
| Helicase Venture Advisors, LLC CRD: 297812 | - | 0 | 1 | - | Unknown |
| Helikon Investments Limited CRD: 307662 | - | 0 | 0 | - | Unknown |
| Heling Associates, Inc. CRD: 110807 | - | 0 | 0 | - | Unknown |
| Helio Analytica Fund I GP LLC CRD: 337392 | - | 0 | 1 | - | Unknown |
| Helios Capital Management PTE. Ltd CRD: 139164 | - | 0 | 0 | - | Unknown |
| Helios Climate Ventures, LLC CRD: 319615 | - | 0 | 1 | - | Unknown |
| Helios Digital Ventures Advisors LLC CRD: 322484 | - | 0 | 1 | - | Unknown |
| Helios Financial Services, LLC CRD: 339501 | - | 0 | 2 | - | Unknown |
| Helios Investment Management CRD: 157093 | - | 0 | 0 | - | Unknown |
| Helios Investment Partners LLP CRD: 162865 | - | 0 | 0 | - | Unknown |
| Helios Wealth Advisors, LLC CRD: 134444 | - | 0 | 2 | - | Unknown |
| Helios Wealth Management Ltd CRD: 340014 | - | 0 | 1 | - | Unknown |
| Helium Advisors LLC CRD: 282356 | - | 0 | 2 | - | Unknown |
| Helium Investments CRD: 286583 | - | 0 | 0 | - | Unknown |
| Helius Associates, Inc. CRD: 130578 | - | 0 | 0 | A | INACTIVE |
| Helix Advisory Services Ltd. CRD: 292831 | - | 0 | 0 | - | Unknown |
| Helix Capital, LLC CRD: 171292 | - | 0 | 0 | - | Unknown |
| Helix Kapital 3.0 AB CRD: 331609 | - | 0 | 0 | - | Unknown |
| Helix Partners Management LP CRD: 325120 | - | 0 | 1 | - | Unknown |
| Helix Securities, Inc. CRD: 25862 | - | 0 | 0 | A | INACTIVE |
| Helix Wealth CRD: 343292 | - | 0 | 1 | - | Unknown |
| Helland Investment Management, Inc. CRD: 148166 | - | 0 | 0 | - | Unknown |
| Heller Capital Markets Group, Inc. CRD: 18434 | - | 0 | 0 | A | INACTIVE |
| Heller Private Wealth CRD: 324272 | - | 0 | 3 | - | Unknown |
| Heller Securities, Inc. CRD: 13524 | - | 0 | 0 | A | INACTIVE |
| Heller Wealth Advisors, LLC. CRD: 153730 | - | 0 | 0 | - | Unknown |
| Heller Wealth Management CRD: 124261 | - | 0 | 1 | - | Unknown |
| Hellman & Friedman LLC CRD: 158614 | - | 0 | 1 | - | Unknown |
| Hellman Jordan Management Co Inc CRD: 106099 | - | 0 | 0 | - | Unknown |
| Hellmold Associates, Inc. CRD: 28071 | - | 0 | 0 | A | INACTIVE |
| Helm Capital Management CRD: 123174 | - | 0 | 2 | - | Unknown |
| Helm Financial Advisors, LLC CRD: 128071 | - | 0 | 2 | - | Unknown |
| Helm Financial Planning LLC CRD: 281255 | - | 0 | 1 | - | Unknown |
| Helm Investment CRD: 316688 | - | 0 | 1 | - | Unknown |
| Helm Investment Management, LLC CRD: 141773 | - | 0 | 1 | - | Unknown |
| Helm Investment Partners, LLC CRD: 298388 | - | 0 | 1 | - | Unknown |
| Helmholdt 360, LLC CRD: 125562 | - | 0 | 1 | - | Unknown |
| Helmsman Financial Group, LLC CRD: 113780 | - | 0 | 3 | - | Unknown |
| Helmstar Wealth Management CRD: 145074 | - | 0 | 5 | - | Unknown |
| Helmy, Abol F CRD: 313659 | - | 0 | 0 | - | Unknown |
| Helping Hand Financial, LLC CRD: 307692 | - | 0 | 1 | - | Unknown |
| Helping Hand RIA, LLC CRD: 309802 | - | 0 | 1 | - | Unknown |
| Helvetia Investment Advisors CRD: 171155 | - | 0 | 0 | - | Unknown |
| Helvetia Wealth Management CRD: 328997 | - | 0 | 0 | - | Unknown |
| HEM Investment Consultants CRD: 323047 | - | 0 | 0 | - | Unknown |
| Hemi Ventures, LLC CRD: 287982 | - | 0 | 0 | - | Unknown |
| Hemington Wealth Management CRD: 169024 | - | 0 | 0 | - | Unknown |