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 |
|---|---|---|---|---|---|
| High Pines Wealth Management LLC CRD: 285191 | - | 0 | 1 | - | Unknown |
| High Plains Investment Advisors, Inc. CRD: 114404 | - | 0 | 1 | - | Unknown |
| High Point Capital Group, Inc. CRD: 25667 | - | 7 | 0 | D | INACTIVE |
| High Point Family Office, L.L.C. CRD: 164831 | - | 0 | 0 | - | Unknown |
| High Point Wealth Management, LLC CRD: 147111 | - | 0 | 2 | - | Unknown |
| High Pointe Capital Management, LLC CRD: 117743 | - | 0 | 0 | - | Unknown |
| High Probability Advisors, LLC CRD: 289541 | - | 0 | 7 | - | Unknown |
| High Rise Capital, LLC CRD: 309654 | - | 0 | 0 | - | Unknown |
| High River Resources Management LLC CRD: 327858 | - | 0 | 1 | - | Unknown |
| High Road Capital Partners, LLC CRD: 161515 | - | 0 | 0 | - | Unknown |
| High Road Financial, LLC CRD: 150061 | - | 0 | 0 | - | Unknown |
| High Rock Wealth Management CRD: 342438 | - | 0 | 1 | - | Unknown |
| High Securities, Ltd. CRD: 17134 | - | 0 | 0 | A | INACTIVE |
| High Sierra Wealth Management CRD: 284195 | - | 0 | 0 | - | Unknown |
| High Street Capital, LLC CRD: 306321 | - | 0 | 1 | - | Unknown |
| High Street Equity Partners, LLC CRD: 324412 | - | 0 | 1 | - | Unknown |
| High Street Private Wealth Management, Inc. CRD: 281656 | - | 0 | 0 | - | Unknown |
| High Street Securities, Inc. CRD: 104201 | - | 1 | 0 | B | INACTIVE |
| High Tech Securities, Inc. CRD: 14796 | - | 0 | 0 | A | INACTIVE |
| High Tide Advisory LLC CRD: 334792 | - | 0 | 2 | - | Unknown |
| High Tide Capital Management, LP CRD: 283025 | - | 0 | 0 | - | Unknown |
| High Tides Ventures, LLC CRD: 334281 | - | 0 | 1 | - | Unknown |
| High TOP Growth Partners CRD: 338202 | - | 0 | 1 | - | Unknown |
| High Trail Capital CRD: 305245 | - | 0 | 1 | - | Unknown |
| High Valley Capital CRD: 143639 | - | 0 | 1 | - | Unknown |
| High Water Mark Investment LLC CRD: 305679 | - | 0 | 0 | - | Unknown |
| High Yield Analytics, Inc. CRD: 41940 | - | 0 | 0 | A | INACTIVE |
| Higham-Whitridge Securities, Inc. CRD: 6161 | - | 2 | 0 | B | INACTIVE |
| Highball Advisors CRD: 298145 | - | 0 | 1 | - | Unknown |
| Highbank Securities LLC CRD: 153796 | - | 0 | 0 | A | INACTIVE |
| Highbar Partners CRD: 166244 | - | 0 | 1 | - | Unknown |
| Highbrace Advisors CRD: 163687 | - | 0 | 0 | - | Unknown |
| Highbridge Capital Corporation CRD: 30208 | - | 2 | 0 | B | INACTIVE |
| Highbridge Capital Management, LLC CRD: 134776 | - | 0 | 1 | - | Unknown |
| Highbrook Investors CRD: 305690 | - | 0 | 0 | - | Unknown |
| Highbury Pacific Capital Corp. CRD: 157778 | - | 0 | 1 | - | Unknown |
| Highbury Park LLC CRD: 304815 | - | 0 | 1 | - | Unknown |
| Highcap Securities, Inc. CRD: 46573 | - | 0 | 0 | A | INACTIVE |
| Highcape Partners Management, L.P. CRD: 170971 | - | 0 | 1 | - | Unknown |
| Highclere International Investors CRD: 140380 | - | 0 | 0 | - | Unknown |
| Highcrest Capital, LLC CRD: 291007 | - | 0 | 2 | - | Unknown |
| Higher Consulting LLC CRD: 305857 | - | 0 | 0 | - | Unknown |
| Higher Ground Labs CRD: 309168 | - | 0 | 1 | - | Unknown |
| Higher Impact Financial, LLC CRD: 331938 | - | 0 | 1 | - | Unknown |
| Higher Level Financial Services LLC CRD: 321731 | - | 0 | 0 | - | Unknown |
| Higher Life Ventures Management LLC CRD: 329911 | - | 0 | 1 | - | Unknown |
| Higher Moment Capital LP CRD: 159775 | - | 0 | 0 | - | Unknown |
| Higher Moment Capital LP CRD: 286695 | - | 0 | 0 | - | Unknown |
| Higher Park Limited CRD: 333478 | - | 0 | 0 | - | Unknown |
| Highet Advisory LLC CRD: 299359 | - | 0 | 0 | - | Unknown |