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 |
|---|---|---|---|---|---|
| Heronbridge CRD: 164314 | - | 0 | 0 | - | Unknown |
| Heronetta Management, L.P. CRD: 157307 | - | 0 | 1 | - | Unknown |
| Heronwood Capital LLC CRD: 290176 | - | 0 | 2 | - | Unknown |
| Herr Capital Management LLC CRD: 122965 | - | 0 | 1 | - | Unknown |
| Herr Investment Group LLC CRD: 315227 | - | 0 | 0 | - | Unknown |
| Herrala, Thomas Wayne CRD: 104287 | - | 0 | 0 | A | INACTIVE |
| Herrick Lake Investments LLC CRD: 315662 | - | 0 | 1 | - | Unknown |
| Herrick Portfolio Management Co. CRD: 145095 | - | 0 | 1 | - | Unknown |
| Herring Creek Capital CRD: 167466 | - | 0 | 0 | - | Unknown |
| Herrington Financial Services, Inc. CRD: 167733 | - | 0 | 0 | - | Unknown |
| Herrington Investment Solutions CRD: 124363 | - | 0 | 2 | - | Unknown |
| Herrington Wealth Management Corporation CRD: 305202 | - | 0 | 1 | - | Unknown |
| Herriot Financial, LLC CRD: 333511 | - | 0 | 1 | - | Unknown |
| Herrmann & Cooke Wealth Management CRD: 110722 | - | 0 | 0 | - | Unknown |
| Herrmann Securities, Inc. CRD: 17703 | - | 0 | 0 | A | INACTIVE |
| Hershey & Miller Co.,Inc. CRD: 14235 | - | 0 | 0 | A | INACTIVE |
| Hershey Financial Advisers, LLC CRD: 149907 | - | 0 | 2 | - | Unknown |
| Hershey's Investments, LLC CRD: 169651 | - | 0 | 0 | - | Unknown |
| Hershiser Wealth Management Group CRD: 168511 | - | 0 | 0 | - | Unknown |
| Hershon Investments, Inc. CRD: 13946 | - | 0 | 0 | A | INACTIVE |
| Hertz Investments Ltd. CRD: 13876 | - | 0 | 0 | A | INACTIVE |
| Herzfeld & Stern Securities Corp. CRD: 2184 | - | 0 | 0 | A | INACTIVE |
| Herzfeld Investment Management LLC CRD: 136000 | - | 0 | 0 | - | Unknown |
| Herzog Financial Group, LLC CRD: 174141 | - | 0 | 1 | - | Unknown |
| Herzog, Heine, Geduld, LLC CRD: 2186 | - | 55 | 0 | F | INACTIVE |
| Hesen & Haslam CRD: 286235 | - | 0 | 3 | - | Unknown |
| Hesmer Wealth Management LLC CRD: 340213 | - | 0 | 2 | - | Unknown |
| Hesperia Capital CRD: 330733 | - | 0 | 1 | - | Unknown |
| Hesperian Wealth CRD: 317351 | - | 0 | 1 | - | Unknown |
| Hess Investment Co. CRD: 407 | - | 0 | 0 | A | INACTIVE |
| Hess, Grant & Company, Inc. CRD: 2187 | - | 0 | 0 | A | INACTIVE |
| Hess, Thomas CRD: 121208 | - | 0 | 0 | A | INACTIVE |
| Hesson Wealth Partners CRD: 334141 | - | 0 | 0 | - | Unknown |
| Hester Funding Group, Inc. CRD: 15411 | - | 0 | 0 | A | INACTIVE |
| Hestia Capital Management, LLC CRD: 314650 | - | 0 | 0 | - | Unknown |
| Hestia Wealth & Wellness LLC CRD: 339677 | - | 0 | 1 | - | Unknown |
| Hetzler, David CRD: 144331 | - | 0 | 0 | - | Unknown |
| Heuristic Capital Partners Management Co, LLC CRD: 285459 | - | 0 | 1 | - | Unknown |
| Hevel Capital, LLC CRD: 330632 | - | 0 | 1 | - | Unknown |
| Hevorx Investment Advisors LLC CRD: 342246 | - | 0 | 1 | - | Unknown |
| Heward Investment Management Inc. CRD: 330682 | - | 0 | 0 | - | Unknown |
| Hewell Financial Group, Inc. CRD: 166179 | - | 0 | 0 | - | Unknown |
| Hewell Financial Group, Inc. CRD: 333535 | - | 0 | 1 | - | Unknown |
| Hewes Fund Management, LLC CRD: 289026 | - | 0 | 1 | - | Unknown |
| Hewitt Lane, LLC CRD: 174456 | - | 0 | 0 | - | Unknown |
| Hewitt Wealth Management Inc. CRD: 330001 | - | 0 | 1 | - | Unknown |
| Hewlett Davidson Powell, LLC CRD: 128612 | - | 0 | 0 | - | Unknown |
| Hewlett Point Securities, LLC CRD: 304127 | FL | 0 | 2 | A | Active |
| Hexa Management Group LLC CRD: 341582 | - | 0 | 1 | - | Unknown |
| Hexagon Capital Alliance LLC CRD: 47981 | - | 0 | 0 | A | INACTIVE |