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 |
|---|---|---|---|---|---|
| Hicks Financial Partners, LLC CRD: 317831 | - | 0 | 2 | - | Unknown |
| Hicks Management & Financial Services, LLC CRD: 309799 | - | 0 | 1 | - | Unknown |
| Hicks, Muse & Co. Partners, L.P. CRD: 157227 | - | 0 | 0 | - | Unknown |
| Hico Management CRD: 328878 | - | 0 | 1 | - | Unknown |
| Hicok Financial Solutions, LLC CRD: 339582 | - | 0 | 1 | - | Unknown |
| Hidajat Asset Management, LLC CRD: 283970 | - | 0 | 1 | - | Unknown |
| Hidalgo,Janet CRD: 125432 | - | 0 | 1 | - | Unknown |
| Hidden Capital Management, LLC CRD: 332676 | - | 0 | 1 | - | Unknown |
| Hidden Cove Wealth Management CRD: 318677 | - | 0 | 1 | - | Unknown |
| Hidden Harbor Capital Management, L.P. CRD: 285401 | - | 0 | 1 | - | Unknown |
| Hidden Hills Wealth CRD: 312877 | - | 0 | 1 | - | Unknown |
| Hidden Lake Asset Management LP CRD: 298209 | - | 0 | 1 | - | Unknown |
| Hidden Oaks Investments LLC CRD: 165409 | - | 0 | 0 | - | Unknown |
| Hidden Point Capital, LLC CRD: 298942 | - | 0 | 1 | - | Unknown |
| Hidden River Capital Private Placement Advisors LL… CRD: 145197 | - | 0 | 0 | A | INACTIVE |
| Hidden Road Partners CIV US LLC CRD: 299659 | - | 0 | 0 | A | INACTIVE |
| Hidden Road Partners CIV US LLC CRD: 331954 | NY | 0 | 8 | A | Active |
| Hidden Road Partners LP CRD: 309187 | - | 0 | 0 | - | Unknown |
| Hiddenite Capital Partners LP CRD: 309942 | - | 0 | 1 | - | Unknown |
| Hifi Planning CRD: 340557 | - | 0 | 1 | - | Unknown |
| Higbee Securities, Inc. CRD: 8154 | - | 0 | 0 | A | INACTIVE |
| Higbie Advisory LLC CRD: 167494 | - | 0 | 0 | - | Unknown |
| Higginbotham Financial Consulting CRD: 308899 | - | 0 | 0 | - | Unknown |
| Higginbotham Retirement Advisors, Inc. CRD: 128561 | - | 0 | 1 | - | Unknown |
| Higginbotham Securities CRD: 335402 | TX | 0 | 2 | A | Active |
| Higgins & Schmidt Wealth Strategies LLC CRD: 286063 | - | 0 | 1 | - | Unknown |
| Higgins Capital Management, Inc. CRD: 39985 | CA | 0 | 3 | A | Active |
| High Alpha Studio, LLC CRD: 269895 | - | 0 | 1 | - | Unknown |
| High Circle Ventures CRD: 317429 | - | 0 | 1 | - | Unknown |
| High Cliff Capital, LLC CRD: 300054 | - | 0 | 0 | - | Unknown |
| High Cotton Investments, LLC CRD: 317155 | - | 0 | 0 | - | Unknown |
| High Country Capital Management CRD: 106151 | - | 0 | 2 | - | Unknown |
| High Desert Investment Advisors,LLC CRD: 127321 | - | 0 | 0 | - | Unknown |
| High END Resources Appreciation Inc. CRD: 147784 | - | 0 | 0 | - | Unknown |
| High Energy Advisors CRD: 145816 | - | 0 | 0 | - | Unknown |
| High Falls Advisors, Inc. CRD: 108678 | - | 0 | 1 | - | Unknown |
| High Five Financial CRD: 283608 | - | 0 | 0 | - | Unknown |
| High Flight Financial LLC CRD: 335788 | - | 0 | 1 | - | Unknown |
| High Grade Investment Solutions, LLC CRD: 142037 | - | 0 | 1 | - | Unknown |
| High Ground Investment Management LLP CRD: 338843 | - | 0 | 0 | - | Unknown |
| High Hill Securities, LLC CRD: 328523 | GA | 0 | 2 | A | Active |
| High Hurdle Capital LLC CRD: 289005 | - | 0 | 0 | - | Unknown |
| High Knoll Wealth Advisors, LLC CRD: 300412 | - | 0 | 2 | - | Unknown |
| High Mark Securities, Inc. CRD: 42467 | - | 0 | 0 | A | INACTIVE |
| High Mountain Financial Planning CRD: 312552 | - | 0 | 1 | - | Unknown |
| High NET Wealth CRD: 285764 | - | 0 | 0 | - | Unknown |
| High Note Financial LLC CRD: 322427 | - | 0 | 1 | - | Unknown |
| High Note Wealth, LLC CRD: 305768 | - | 0 | 1 | - | Unknown |
| High Peaks Wealth Strategies CRD: 334871 | - | 0 | 1 | - | Unknown |
| High Perch LLC CRD: 125212 | - | 0 | 0 | - | Unknown |