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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
Herbert J. Sims & Co, Inc.
CRD: 3420
 CT 10 13 B Active
Herbert J. Sims Capital Management, Inc.
CRD: 134510
 - 0 33 - Unknown
Herbert Lawrence Consultants, Inc.
CRD: 8383
 - 0 0 A INACTIVE
Herbert Rothenberg
CRD: 13786
 - 0 0 A INACTIVE
Herbert Young Securities, Inc.
CRD: 7729
 - 0 0 A INACTIVE
Herbfulton Investment Advisory, LLC
CRD: 152994
 - 0 0 - Unknown
Herbst Financial Advisors, Inc.
CRD: 114367
 - 0 0 - Unknown
Hercules Adviser LLC
CRD: 310662
 - 0 1 - Unknown
Hercules Investments
CRD: 304719
 - 0 0 - Unknown
Hereford Financial
CRD: 312234
 - 0 0 - Unknown
Hereth, ORR & Jones, Inc.
CRD: 7210
 - 0 0 A INACTIVE
Heretic Studio, LLC
CRD: 338307
 - 0 0 - Unknown
Heretic Ventures, LLC
CRD: 326900
 - 0 0 - Unknown
Hergenroeder Financial Advisors, Inc.
CRD: 121278
 - 0 1 - Unknown
Herges Capital Management
CRD: 288600
 - 0 1 - Unknown
Heritage Advisors Group, Inc.
CRD: 307283
 - 0 1 - Unknown
Heritage Advisors of the Southwest LLC
CRD: 174471
 - 0 0 - Unknown
Heritage Advisory Group, Inc.
CRD: 125633
 - 0 0 - Unknown
Heritage Advisory LLC
CRD: 339886
 - 0 4 - Unknown
Heritage Advisory Services, Inc.
CRD: 119241
 - 0 1 - Unknown
Heritage Asset Advisors Ltd., LLP
CRD: 144125
 - 0 1 - Unknown
Heritage Asset Management, LLC
CRD: 323344
 - 0 1 - Unknown
Heritage Asset Managers, Inc.
CRD: 134955
 - 0 3 - Unknown
Heritage Benefits Financial Services, Inc.
CRD: 45797
 - 0 0 A INACTIVE
Heritage Benefits Investment Management, LLC
CRD: 134986
 - 0 0 - Unknown
Heritage Capital Advisors, LLC
CRD: 115308
 - 0 1 - Unknown
Heritage Capital Advisors, LLC
CRD: 310306
 - 0 3 - Unknown
Heritage Capital Corp.
CRD: 18176
 - 0 0 A INACTIVE
Heritage Capital Group, Inc.
CRD: 44053
 FL 0 3 A Active
Heritage Capital Management, Inc.
CRD: 117498
 - 0 1 - Unknown
Heritage Capital Partners,Inc.
CRD: 120748
 - 0 2 - Unknown
Heritage Capital, LLC
CRD: 127650
 - 0 4 - Unknown
Heritage Drive Wealth Management LLC
CRD: 307757
 - 0 1 - Unknown
Heritage Equities Corporation
CRD: 14683
 - 0 0 A INACTIVE
Heritage Equity Management LLC
CRD: 291647
 - 0 0 - Unknown
Heritage Equity Planning Corporation
CRD: 18181
 - 0 0 A INACTIVE
Heritage Family Offices, LLP
CRD: 323930
 - 0 1 - Unknown
Heritage Financial Advisors, LLC
CRD: 154955
 - 0 1 - Unknown
Heritage Financial Advisory, LLC
CRD: 315898
 - 0 2 - Unknown
Heritage Financial Corporation (of Maryland)
CRD: 11078
 - 0 0 A INACTIVE
Heritage Financial Counselors, LLC
CRD: 288232
 - 0 3 - Unknown
Heritage Financial Group
CRD: 173094
 - 0 0 - Unknown
Heritage Financial Group, Inc
CRD: 146246
 - 0 0 - Unknown
Heritage Financial Investments Corporation
CRD: 15767
 - 0 0 A INACTIVE
Heritage Financial LLC
CRD: 285149
 - 0 2 - Unknown
Heritage Financial Network, Inc.
CRD: 128532
 - 0 3 - Unknown
Heritage Financial Partners LLC
CRD: 309590
 - 0 0 - Unknown
Heritage Financial Planning
CRD: 131525
 - 0 0 - Unknown
Heritage Financial Services
CRD: 127268
 - 0 0 - Unknown
Heritage Financial Services, LLC
CRD: 297162
 - 0 0 - Unknown
Page 676 of 1601 (80,028 total)
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