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 |
|---|---|---|---|---|---|
| Hennessy Capital Growth Partners Management, LLC CRD: 317385 | - | 0 | 1 | - | Unknown |
| Hennessy Financial Services CRD: 173578 | - | 0 | 1 | - | Unknown |
| Henney Wealth Management CRD: 154824 | - | 0 | 1 | - | Unknown |
| Hennii Investment Advisory Services CRD: 311556 | - | 0 | 0 | - | Unknown |
| Hennion & Walsh Asset Management, Inc. CRD: 126236 | - | 0 | 6 | - | Unknown |
| Hennion & Walsh, Inc. CRD: 25766 | NJ | 18 | 3 | C | Active |
| Henrickson Nauta Wealth Advisors, Inc. CRD: 141201 | - | 0 | 1 | - | Unknown |
| Henries Securities CRD: 306152 | NY | 0 | 2 | A | Active |
| Henriot Investment Management Ltd CRD: 337342 | - | 0 | 0 | - | Unknown |
| Henris Wealth Partners CRD: 307325 | - | 0 | 0 | - | Unknown |
| Henry & Hannay Wealth Management LLC CRD: 155056 | - | 0 | 0 | - | Unknown |
| Henry + Horne Wealth Management CRD: 289248 | - | 0 | 0 | - | Unknown |
| Henry a. Vickers, JR., Financial Advisor CRD: 118169 | - | 0 | 1 | - | Unknown |
| Henry Ansbacher Inc. CRD: 20899 | - | 0 | 0 | A | INACTIVE |
| Henry B. Murphy JR. CPA CRD: 129154 | - | 0 | 0 | - | Unknown |
| Henry Bragg & Co. CRD: 311388 | - | 0 | 2 | - | Unknown |
| Henry Capital Management, LLC CRD: 110219 | - | 0 | 0 | A | INACTIVE |
| Henry Collective, LLC CRD: 319231 | - | 0 | 1 | - | Unknown |
| Henry F. Swift & Co. CRD: 3548 | - | 0 | 0 | A | INACTIVE |
| Henry H. Armstrong Associates, Inc. CRD: 105510 | - | 0 | 1 | - | Unknown |
| Henry James International Management, Inc. CRD: 169293 | - | 0 | 1 | - | Unknown |
| Henry Krieger & Co. CRD: 2477 | - | 0 | 0 | A | INACTIVE |
| Henry Krieger/DBI L.P. CRD: 25814 | - | 0 | 0 | A | INACTIVE |
| Henry Krieger/DBI, L.P. CRD: 23724 | - | 0 | 0 | A | INACTIVE |
| Henry Krist CRD: 116154 | - | 0 | 0 | - | Unknown |
| Henry Thomas O'hara CRD: 108349 | - | 0 | 0 | - | Unknown |
| Henry/Kearns Municipals Incorporated CRD: 7457 | - | 0 | 0 | A | INACTIVE |
| Hensel Capital Management CRD: 117903 | - | 0 | 2 | - | Unknown |
| Henssler Financial CRD: 107866 | - | 0 | 0 | - | Unknown |
| Henssler Financial CRD: 104545 | - | 0 | 7 | - | Unknown |
| Hentch Solutions CRD: 312487 | - | 0 | 1 | - | Unknown |
| Henthorn Agency, Inc. CRD: 121607 | - | 0 | 1 | - | Unknown |
| HEP Management Corporation CRD: 161855 | - | 0 | 1 | - | Unknown |
| HEP Partners LLC CRD: 161386 | - | 0 | 1 | - | Unknown |
| Hepburn Capital Management, LLC CRD: 120572 | - | 0 | 0 | - | Unknown |
| Hepco Capital Management, LLC CRD: 336206 | - | 0 | 1 | - | Unknown |
| Hepfner Securities Corp. CRD: 15645 | - | 0 | 0 | A | INACTIVE |
| Hepner Advisory Services, Inc CRD: 121737 | - | 0 | 0 | - | Unknown |
| Hepner Financial Services, LLC CRD: 144045 | - | 0 | 1 | - | Unknown |
| Hepworth Equity Partners, LLC CRD: 145774 | - | 0 | 1 | - | Unknown |
| HER Personal Finance CRD: 327545 | - | 0 | 3 | - | Unknown |
| HER Securities, Inc. CRD: 16266 | - | 0 | 0 | A | INACTIVE |
| Heracles Capital LLC CRD: 316051 | - | 0 | 1 | - | Unknown |
| Heraclitus Capital Management CRD: 337873 | - | 0 | 1 | - | Unknown |
| Herald Square Advisors LLC CRD: 324221 | - | 0 | 0 | - | Unknown |
| Herbein Financial Group, LLC CRD: 322194 | - | 0 | 2 | - | Unknown |
| Herbein Wealth Management, L.L.C. CRD: 118114 | - | 0 | 0 | - | Unknown |
| Herbert B. White & Company CRD: 3760 | - | 0 | 0 | A | INACTIVE |
| Herbert Capital Management CRD: 310399 | - | 0 | 0 | - | Unknown |
| Herbert Capital Management CRD: 328324 | - | 0 | 0 | - | Unknown |