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 |
|---|---|---|---|---|---|
| Hodges Financial Group CRD: 338345 | - | 0 | 1 | - | Unknown |
| Hodos Wealth Group, LLC CRD: 311705 | - | 0 | 1 | - | Unknown |
| Hodskins Financial Management, LLC CRD: 140685 | - | 0 | 0 | - | Unknown |
| Hoefer & Arnett, Incorporated CRD: 10883 | - | 9 | 0 | D | INACTIVE |
| Hoenes Financial Planning, Inc. CRD: 114429 | - | 0 | 0 | - | Unknown |
| Hoertkorn Richard Charles CRD: 104649 | - | 0 | 1 | - | Unknown |
| Hoey Investments, Inc. CRD: 152103 | - | 0 | 1 | - | Unknown |
| HOF Capital CRD: 287485 | - | 0 | 1 | - | Unknown |
| Hofbeck Harris Inc. CRD: 16648 | - | 0 | 0 | A | INACTIVE |
| Hofer & Associates Wealth Management CRD: 282005 | - | 0 | 2 | - | Unknown |
| Hoff Private Wealth CRD: 301001 | - | 0 | 2 | - | Unknown |
| Hoffman & Associates Financial and Estate Advisors… CRD: 134563 | - | 0 | 0 | - | Unknown |
| Hoffman Capital Advisors LLC CRD: 287766 | - | 0 | 2 | - | Unknown |
| Hoffman Capital Management, LLC CRD: 295499 | - | 0 | 1 | - | Unknown |
| Hoffman Financial Consultants CRD: 121809 | - | 0 | 1 | - | Unknown |
| Hoffman Investment Services, LLC CRD: 167360 | - | 0 | 1 | - | Unknown |
| Hoffman Wealth Advisors CRD: 335646 | - | 0 | 2 | - | Unknown |
| Hoffman Wealth Solutions CRD: 145982 | - | 0 | 0 | - | Unknown |
| Hoffman, Alan N. Investment Management CRD: 109454 | - | 0 | 1 | - | Unknown |
| Hoffmann Hermanson CRD: 130484 | - | 0 | 2 | - | Unknown |
| Hofkin Capital Management, Inc. CRD: 110068 | - | 0 | 1 | - | Unknown |
| Hofman Wealth Management CRD: 342340 | - | 0 | 1 | - | Unknown |
| Hofmeister Advisory Group LLC CRD: 174296 | - | 0 | 0 | - | Unknown |
| Hofstetter, Cody L. CRD: 328265 | - | 0 | 1 | - | Unknown |
| Hogan Financial CRD: 111600 | - | 0 | 0 | - | Unknown |
| Hogan Financial Planning, LLC CRD: 282812 | - | 0 | 0 | - | Unknown |
| Hogan French Financial Services CRD: 323549 | - | 0 | 0 | - | Unknown |
| Hogan Investment Advising, LLC CRD: 311879 | - | 0 | 0 | - | Unknown |
| Hogan Investment Counsel, LLC CRD: 160186 | - | 0 | 1 | - | Unknown |
| Hogantaylor Wealth CRD: 129696 | - | 0 | 3 | - | Unknown |
| Hogg Syndications & Investments, Inc. CRD: 10211 | - | 0 | 0 | A | INACTIVE |
| Hogin Financial and Insurance Services, Inc. CRD: 121277 | - | 0 | 0 | - | Unknown |
| Hohensee Financial Services, Inc. CRD: 113381 | - | 0 | 3 | - | Unknown |
| Hohimer Wealth Management, LLC CRD: 300140 | - | 0 | 3 | - | Unknown |
| Hoisington Investment Management Co CRD: 107710 | - | 0 | 6 | - | Unknown |
| Hoist Capital Partners I GP, LLC CRD: 335315 | - | 0 | 1 | - | Unknown |
| Hokage Capital Management LLC CRD: 333504 | - | 0 | 1 | - | Unknown |
| Hokin Investment Advisors Inc. CRD: 141069 | - | 0 | 1 | - | Unknown |
| Hoku Inc. CRD: 310865 | - | 0 | 0 | - | Unknown |
| Hoku Partners LLC CRD: 337936 | - | 0 | 1 | - | Unknown |
| Holbein Associates, Inc. CRD: 17962 | - | 1 | 0 | B | INACTIVE |
| Holbert Ventures LLC CRD: 318384 | - | 0 | 1 | - | Unknown |
| Holbrook Global Strategies CRD: 127059 | - | 0 | 2 | - | Unknown |
| Holbrook Holdings, Inc. CRD: 283258 | - | 0 | 1 | - | Unknown |
| Holbrook Management, LLC CRD: 149561 | - | 0 | 2 | - | Unknown |
| Holcomb Financial CRD: 329604 | - | 0 | 1 | - | Unknown |
| Holcomb, Stevens Securities, Inc CRD: 22830 | - | 0 | 0 | A | INACTIVE |
| Holcombe & Mcgrath CRD: 121197 | - | 0 | 1 | - | Unknown |
| Holcombe Financial, Inc. CRD: 142238 | - | 0 | 1 | - | Unknown |
| Hold Asset Management, Ltd. CRD: 173944 | - | 0 | 0 | - | Unknown |