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 |
|---|---|---|---|---|---|
| Herkules Private Equity IV (GP-II) Limited CRD: 169808 | - | 0 | 0 | - | Unknown |
| Herlihy, Terrence William CRD: 33921 | - | 0 | 0 | A | INACTIVE |
| Herman J. Hochman & Company CRD: 2214 | - | 0 | 0 | A | INACTIVE |
| Herman, Robert J. CRD: 39417 | - | 0 | 0 | A | INACTIVE |
| Hermening Advisory Services LLC CRD: 134927 | - | 0 | 0 | - | Unknown |
| Hermens Capital Management, Inc CRD: 116077 | - | 0 | 2 | - | Unknown |
| Hermes Advisors LLC CRD: 285508 | - | 0 | 0 | - | Unknown |
| Hermes Advisors LLC CRD: 334575 | - | 0 | 1 | - | Unknown |
| Hermes Alternative Investment Management Limited CRD: 168684 | - | 0 | 0 | - | Unknown |
| Hermes BPK Limited CRD: 168683 | - | 0 | 0 | - | Unknown |
| Hermes Econometrics CRD: 113643 | - | 0 | 0 | - | Unknown |
| Hermes European Equities Limited CRD: 152630 | - | 0 | 0 | - | Unknown |
| Hermes Fund Distributors LLC CRD: 155655 | - | 0 | 0 | A | INACTIVE |
| Hermes Fund Managers Ireland Limited CRD: 319364 | - | 0 | 0 | - | Unknown |
| Hermes GPE (USA) Inc CRD: 166839 | - | 0 | 1 | - | Unknown |
| Hermes GPE LLP CRD: 151848 | - | 0 | 0 | - | Unknown |
| Hermes Investment Group CRD: 284383 | - | 0 | 1 | - | Unknown |
| Hermes Investment Management Limited CRD: 153104 | - | 0 | 0 | - | Unknown |
| Hermitage Advisors, Ltd. CRD: 127564 | - | 0 | 2 | - | Unknown |
| Hermitage Capital Corporation CRD: 1771 | - | 0 | 0 | A | INACTIVE |
| Hermitage Capital Corporation CRD: 20509 | - | 12 | 0 | D | INACTIVE |
| Hermitage Capital LLP CRD: 163679 | - | 0 | 0 | - | Unknown |
| Hermitage Capital Management Limited CRD: 162931 | - | 0 | 0 | - | Unknown |
| Hermitage Wealth CRD: 333235 | - | 0 | 1 | - | Unknown |
| Hermosa Advisors CRD: 306330 | - | 0 | 1 | - | Unknown |
| Hermosa Capital Management, LLC CRD: 142382 | - | 0 | 1 | - | Unknown |
| Hermosa Wealth Management CRD: 310771 | - | 0 | 4 | - | Unknown |
| Hernandez Financial CRD: 156433 | - | 0 | 2 | - | Unknown |
| Herndon Capital Management, LLC CRD: 113538 | - | 0 | 0 | - | Unknown |
| Herndon Investment Management, LLC CRD: 309564 | - | 0 | 1 | - | Unknown |
| Herndon Plant Oakley, Ltd. CRD: 44971 | TX | 0 | 5 | A | Active |
| Herndon Wealth Services Inc CRD: 313930 | - | 0 | 2 | - | Unknown |
| Hero Asset Management CRD: 335707 | - | 0 | 2 | - | Unknown |
| Hero Financial Advisors, Inc. CRD: 129189 | - | 0 | 0 | - | Unknown |
| Hero Investment Planners LLC CRD: 311962 | - | 0 | 0 | - | Unknown |
| Hero Investors, LLC CRD: 172790 | - | 0 | 2 | - | Unknown |
| Herodeus Capital LLC CRD: 309015 | - | 0 | 0 | - | Unknown |
| Heroic Financial LLC CRD: 315426 | - | 0 | 0 | - | Unknown |
| Heroic Financial LLC CRD: 327809 | - | 0 | 1 | - | Unknown |
| Heroic Ventures Management, LLC CRD: 283399 | - | 0 | 1 | - | Unknown |
| Herold & Lantern Investments, Inc. CRD: 30996 | NY | 1 | 10 | B | Active |
| Herold Advisors, Inc. CRD: 105090 | - | 0 | 6 | - | Unknown |
| Heron BAY Capital Management CRD: 305537 | - | 0 | 4 | - | Unknown |
| Heron BAY Capital Partners LP CRD: 301970 | - | 0 | 0 | - | Unknown |
| Heron BAY Capital, LLC CRD: 311176 | - | 0 | 0 | - | Unknown |
| Heron Equity Management, LLC CRD: 307350 | - | 0 | 1 | - | Unknown |
| Heron Finance CRD: 327608 | - | 0 | 2 | - | Unknown |
| Heron Global Management, LLC CRD: 342669 | - | 0 | 1 | - | Unknown |
| Heron View Partners LLC CRD: 105926 | - | 0 | 1 | - | Unknown |
| Heron Wealth LLC CRD: 339109 | - | 0 | 1 | - | Unknown |