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 |
|---|---|---|---|---|---|
| HLM Securities, Inc. CRD: 133216 | - | 10 | 0 | D | INACTIVE |
| HLV Ventures CRD: 332979 | - | 0 | 1 | - | Unknown |
| HM Capital Management Inc CRD: 110196 | - | 0 | 0 | - | Unknown |
| HM Capital Management, LLC CRD: 136595 | - | 0 | 0 | - | Unknown |
| HM Clipper Management, Ltd. CRD: 157188 | - | 0 | 0 | - | Unknown |
| HM International L.L.C. CRD: 321885 | - | 0 | 1 | - | Unknown |
| HMA Advisors LLC CRD: 226747 | - | 0 | 0 | - | Unknown |
| HMC Capital US CRD: 306285 | - | 0 | 1 | - | Unknown |
| HMC Investments, LLC CRD: 40581 | - | 0 | 0 | A | INACTIVE |
| HMC Securities LLC CRD: 124074 | - | 0 | 0 | A | INACTIVE |
| HME International Advisory Associates, Inc. CRD: 10400 | - | 0 | 0 | A | INACTIVE |
| HME International Advisory Associates, L.P. CRD: 27059 | - | 0 | 0 | A | INACTIVE |
| HMI Capital Management, L.P. CRD: 160850 | - | 0 | 1 | - | Unknown |
| Hmount Asset Management (HK) Limited CRD: 305937 | - | 0 | 0 | - | Unknown |
| HMP Capital Management, LLC CRD: 148850 | - | 0 | 1 | - | Unknown |
| HMP Capital, LLC CRD: 325528 | IL | 0 | 2 | A | Active |
| HMS Adviser LP CRD: 164061 | - | 0 | 0 | - | Unknown |
| HMS Financial Services, LLC CRD: 131569 | - | 0 | 1 | - | Unknown |
| HMS Investment Advisors CRD: 149764 | - | 0 | 1 | - | Unknown |
| HMV Wealth Advisors, LLC CRD: 297747 | - | 0 | 2 | - | Unknown |
| HN Buss Investing CRD: 333557 | - | 0 | 1 | - | Unknown |
| HN Capital Partners, L.L.C. CRD: 296867 | - | 0 | 1 | - | Unknown |
| HNA Investment Management LLC CRD: 277045 | - | 0 | 0 | - | Unknown |
| HNC Capital Management, LLC CRD: 166657 | - | 0 | 0 | - | Unknown |
| HNP Capital LLC CRD: 150333 | - | 0 | 0 | - | Unknown |
| Hnre Securities, Inc. CRD: 17050 | - | 0 | 0 | A | INACTIVE |
| HNW Management Inc. CRD: 155302 | - | 0 | 0 | - | Unknown |
| HNW Synergy Advisors, LLC CRD: 299772 | - | 0 | 1 | - | Unknown |
| HNY Associates, L.L.C CRD: 43305 | - | 1 | 0 | B | INACTIVE |
| HO, HON CRD: 340190 | - | 0 | 1 | - | Unknown |
| Hoak Breedlove Wesneski & Co. CRD: 23728 | - | 3 | 0 | B | INACTIVE |
| Hoare Govett Incorporated CRD: 10882 | - | 0 | 0 | A | INACTIVE |
| Hobart Ventures CRD: 332486 | - | 0 | 1 | - | Unknown |
| Hobart Wealth CRD: 168494 | - | 0 | 1 | - | Unknown |
| Hobbs Advisory Services CRD: 148841 | - | 0 | 2 | - | Unknown |
| Hobbs Group Advisors LLC CRD: 157274 | - | 0 | 4 | - | Unknown |
| Hobbs Melville Securities Corp. CRD: 40133 | - | 1 | 0 | B | INACTIVE |
| Hobbs Wealth Management CRD: 325374 | - | 0 | 1 | - | Unknown |
| Hobe Mountain Capital Management LLC CRD: 338577 | - | 0 | 1 | - | Unknown |
| Hobert & Svoboda, Inc. CRD: 25388 | - | 1 | 0 | B | INACTIVE |
| Hoch Accounting CRD: 146882 | - | 0 | 0 | - | Unknown |
| Hochman & Baker Securities, Inc. CRD: 19949 | - | 1 | 0 | B | INACTIVE |
| Hochman Cole Investment Advisors, Inc. CRD: 141396 | - | 0 | 0 | - | Unknown |
| Hochstin & Company, Inc. CRD: 32900 | - | 1 | 0 | B | INACTIVE |
| Hochstrat Investments LLC CRD: 289565 | - | 0 | 1 | - | Unknown |
| Hocking Capital, LLC CRD: 148088 | - | 0 | 0 | A | INACTIVE |
| Hoctor Financial Group, LLC CRD: 132703 | - | 0 | 1 | - | Unknown |
| Hodes Weill Securities, LLC CRD: 131848 | NY | 1 | 2 | B | Active |
| Hodge Financial Services, LLC CRD: 127213 | - | 0 | 1 | - | Unknown |
| Hodges Capital Management Inc CRD: 110080 | - | 0 | 5 | - | Unknown |