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 |
|---|---|---|---|---|---|
| Hold Brothers Capital LLC CRD: 151864 | NY | 3 | 2 | B | Active |
| Holdco Asset Management, LP CRD: 167054 | - | 0 | 1 | - | Unknown |
| Holden Family Office, LLC CRD: 324597 | - | 0 | 3 | - | Unknown |
| Holden Financial Planning CRD: 130986 | - | 0 | 0 | - | Unknown |
| Holden Hall Wealth Management CRD: 283485 | - | 0 | 0 | - | Unknown |
| Holden Wealth Management LLC CRD: 161190 | - | 0 | 1 | - | Unknown |
| Holder & Company, Inc. CRD: 117077 | - | 0 | 2 | - | Unknown |
| Holder Wealth Management CRD: 170086 | - | 0 | 2 | - | Unknown |
| Holderness Investments Co CRD: 106530 | - | 0 | 7 | - | Unknown |
| Holdfast Wealth Management, LLC CRD: 168007 | - | 0 | 1 | - | Unknown |
| Holding, Clarence Houston CRD: 15837 | - | 0 | 0 | A | INACTIVE |
| Holdings CRD: 326907 | - | 0 | 0 | - | Unknown |
| Holdun Family Office LLC CRD: 158123 | - | 0 | 0 | - | Unknown |
| Holdun Family Office LLC CRD: 300709 | - | 0 | 0 | - | Unknown |
| Holdus Capital Investments Advisors CRD: 286395 | - | 0 | 0 | - | Unknown |
| Holford Securities (U.S.), Inc. CRD: 25120 | - | 0 | 0 | A | INACTIVE |
| Holiday Partners LLC CRD: 334857 | - | 0 | 1 | - | Unknown |
| Holiday Wealth Management LLC CRD: 333958 | - | 0 | 0 | - | Unknown |
| Holifield Financial Advisory Services/Prosper Fina… CRD: 147874 | - | 0 | 0 | - | Unknown |
| Holistic Advisory CRD: 329746 | - | 0 | 0 | - | Unknown |
| Holistic Brokerage, LLC CRD: 46001 | FL | 3 | 2 | B | Active |
| Holistic Capital CRD: 332028 | - | 0 | 1 | - | Unknown |
| Holistic Finance LLC CRD: 335108 | - | 0 | 3 | - | Unknown |
| Holistic Financial Partners, LLC CRD: 170913 | - | 0 | 1 | - | Unknown |
| Holistic Financial Planning LLC CRD: 324132 | - | 0 | 2 | - | Unknown |
| Holistic Planners CRD: 170933 | - | 0 | 2 | - | Unknown |
| Holistic Private Wealth, LLC CRD: 152540 | - | 0 | 2 | - | Unknown |
| Holistic View Financial, LLC CRD: 288975 | - | 0 | 1 | - | Unknown |
| Holistic Wealth Advisors CRD: 332918 | - | 0 | 2 | - | Unknown |
| Holistic-Solutions CRD: 300370 | - | 0 | 1 | - | Unknown |
| Holladay Capital Corporation CRD: 16576 | - | 0 | 0 | A | INACTIVE |
| Holland & Associates, P.C. CRD: 142896 | - | 0 | 0 | - | Unknown |
| Holland & Co LLC CRD: 107046 | - | 0 | 0 | - | Unknown |
| Holland Advisory Services, Inc. CRD: 136302 | - | 0 | 9 | - | Unknown |
| Holland Capital Advisors, LLC CRD: 336204 | - | 0 | 1 | - | Unknown |
| Holland Capital Management LLC CRD: 106376 | - | 0 | 0 | - | Unknown |
| Holland Capital Management LLC CRD: 304886 | - | 0 | 1 | - | Unknown |
| Holland Capital Management, L.P. CRD: 28213 | - | 0 | 0 | A | INACTIVE |
| Holland Duell Financial Strategies CRD: 108616 | - | 0 | 0 | - | Unknown |
| Holland Financial Inc. CRD: 285258 | - | 0 | 1 | - | Unknown |
| Holland Financial Services, Inc. CRD: 125812 | - | 0 | 1 | - | Unknown |
| Holland Investment Management, Inc. CRD: 159060 | - | 0 | 2 | - | Unknown |
| Holland Investment Services, Inc. CRD: 148492 | - | 0 | 0 | A | INACTIVE |
| Holland Planning Group CRD: 6503 | - | 0 | 0 | A | INACTIVE |
| Holland Premier Legacy Financial LLC CRD: 313439 | - | 0 | 1 | - | Unknown |
| Holland Strategic Wealth Advisors LLC CRD: 334665 | - | 0 | 1 | - | Unknown |
| Hollander Asset Management LLC CRD: 150343 | - | 0 | 1 | - | Unknown |
| Hollander Capital Management, Inc. CRD: 134858 | - | 0 | 0 | - | Unknown |
| Hollbeach Investment Management LLP CRD: 167597 | - | 0 | 0 | - | Unknown |
| Hollencrest Capital Management, LLC CRD: 46217 | - | 3 | 1 | C | INACTIVE |