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 |
|---|---|---|---|---|---|
| Alumni Fund Management Corp. CRD: 293424 | - | 0 | 0 | - | Unknown |
| Alumni Ventures CRD: 170562 | - | 0 | 1 | - | Unknown |
| Alupka Asset Management CRD: 158410 | - | 0 | 2 | - | Unknown |
| Alvarado & Associates, LLC CRD: 298577 | - | 0 | 2 | - | Unknown |
| Alvarado Management Company CRD: 136227 | - | 0 | 2 | - | Unknown |
| Alvarez & Associates Financial CRD: 340494 | - | 0 | 1 | - | Unknown |
| Alvarez & Marsal CRF Management, LLC CRD: 307360 | - | 0 | 0 | - | Unknown |
| Alvarez & Marsal Investment Management LLC CRD: 171489 | - | 0 | 0 | - | Unknown |
| Alvarez & Marsal Zohar Management, LLC CRD: 283338 | - | 0 | 0 | - | Unknown |
| Alvarez Advisory LLC CRD: 341652 | - | 0 | 1 | - | Unknown |
| Alvarium Investment Managers (US), LLC CRD: 285731 | - | 0 | 0 | - | Unknown |
| Alverio, Louis Richard CRD: 122930 | - | 0 | 0 | A | INACTIVE |
| Alvery Bartlett Brokerage Co. CRD: 13487 | - | 0 | 0 | A | INACTIVE |
| Alvery Bartlett Fund Management Co. CRD: 288072 | - | 0 | 1 | - | Unknown |
| Alvin Clay Financial Advisors, LLC CRD: 226655 | - | 0 | 1 | - | Unknown |
| Alvin Colker & Associates, Inc. CRD: 5994 | - | 0 | 0 | A | INACTIVE |
| Alvin M. Herzmark, Inc. CRD: 13247 | - | 0 | 0 | A | INACTIVE |
| Alvista Wealth Consulting, LLC CRD: 159264 | - | 0 | 1 | - | Unknown |
| Alvyn Herrick Advisors CRD: 158554 | - | 0 | 0 | - | Unknown |
| Alwaleed X.AI Inc. CRD: 339810 | - | 0 | 0 | - | Unknown |
| Alwyne Management LP CRD: 290715 | - | 0 | 0 | - | Unknown |
| Alyeska Investment Group, L.P. CRD: 155058 | - | 0 | 1 | - | Unknown |
| Alyssa LLC CRD: 102220 | - | 0 | 0 | A | INACTIVE |
| Alyssum Benefits LLC CRD: 167245 | - | 0 | 0 | - | Unknown |
| AM Advisors CRD: 172081 | - | 0 | 0 | - | Unknown |
| AM Advisors CRD: 284168 | - | 0 | 0 | - | Unknown |
| AM Capital Management LLC CRD: 318795 | - | 0 | 0 | - | Unknown |
| AM Financial Services, Inc. CRD: 118361 | - | 0 | 0 | - | Unknown |
| AM Global Family Investment Office CRD: 159319 | - | 0 | 0 | - | Unknown |
| AM PM Capital Management LLC CRD: 283933 | - | 0 | 0 | - | Unknown |
| AM Squared Limited CRD: 296223 | - | 0 | 0 | - | Unknown |
| AM Tech Management, LLC CRD: 342884 | - | 0 | 1 | - | Unknown |
| AM Wealth Solutions, LLC CRD: 334822 | - | 0 | 2 | - | Unknown |
| AM&A Securities, Inc. CRD: 29458 | - | 0 | 0 | A | INACTIVE |
| AMA Broker Dealer Inc. CRD: 21492 | - | 0 | 0 | A | INACTIVE |
| AMA Financial Planning LLC CRD: 334069 | - | 0 | 1 | - | Unknown |
| AMA Investment Advisers, Inc. CRD: 678 | - | 0 | 0 | A | INACTIVE |
| AMA Office Solutions LLC CRD: 338091 | - | 0 | 2 | - | Unknown |
| AMA Securities LLC CRD: 45988 | CT | 0 | 2 | A | Active |
| Amadeus Wealth Alternatives, Inc. CRD: 170408 | - | 0 | 1 | - | Unknown |
| Amador Capital CRD: 296938 | - | 0 | 1 | - | Unknown |
| Amador Securities CRD: 8116 | - | 0 | 0 | A | INACTIVE |
| Amalfi Investments, LLC CRD: 312466 | - | 0 | 0 | - | Unknown |
| Amalia Partner AG CRD: 338138 | - | 0 | 0 | - | Unknown |
| Amaltash Advisors CRD: 341060 | - | 0 | 1 | - | Unknown |
| Amana Advisors CRD: 325301 | - | 0 | 1 | - | Unknown |
| Amana Wealth Management CRD: 285714 | - | 0 | 0 | - | Unknown |
| Amanda Advisors, LLC CRD: 283094 | - | 0 | 0 | - | Unknown |
| Amansa Capital PTE. Ltd. CRD: 145780 | - | 0 | 0 | - | Unknown |
| Amara Financial, LLC CRD: 308290 | - | 0 | 2 | - | Unknown |