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 |
|---|---|---|---|---|---|
| Holleyjo Wealth Advisors CRD: 307642 | - | 0 | 1 | - | Unknown |
| Hollingsworth Avent Averre & Purvis, PA CRD: 118943 | - | 0 | 1 | - | Unknown |
| Hollingsworth, LEE W CRD: 300489 | - | 0 | 1 | - | Unknown |
| Hollis Park Partners LP CRD: 171461 | - | 0 | 0 | - | Unknown |
| Hollister Associates, LLC CRD: 173366 | SC | 0 | 19 | A | Active |
| Hollister Securities, Inc. CRD: 36989 | - | 0 | 0 | A | INACTIVE |
| Hollow Brook Wealth Management LLC CRD: 145521 | - | 0 | 1 | - | Unknown |
| Hollow Tree Investments Management CRD: 325380 | - | 0 | 1 | - | Unknown |
| Holloway & Associates, Inc. CRD: 10349 | - | 0 | 0 | A | INACTIVE |
| Holloway Investment Advisors, Inc. CRD: 118223 | - | 0 | 0 | - | Unknown |
| Holloway Wealth Management, LLC CRD: 138146 | - | 0 | 0 | - | Unknown |
| Holly Donaldson Financial Planning, LLC CRD: 142098 | - | 0 | 1 | - | Unknown |
| Holly Securities, Inc. CRD: 6150 | - | 0 | 0 | A | INACTIVE |
| Holly Street Securities CRD: 19806 | - | 0 | 0 | A | INACTIVE |
| Holly Street Wealth Advisors CRD: 167343 | - | 0 | 0 | - | Unknown |
| Holly Ventures Management, LLC CRD: 333049 | - | 0 | 1 | - | Unknown |
| Hollyport Capital LLP CRD: 289306 | - | 0 | 0 | - | Unknown |
| Hollyport Secondary Opportunities Management Limit… CRD: 289304 | - | 0 | 0 | - | Unknown |
| Holm & Cawley Financial Group LLC CRD: 150601 | - | 0 | 3 | - | Unknown |
| Holman JR., John W. CRD: 287779 | - | 0 | 0 | - | Unknown |
| Holman Wealth Management CRD: 296591 | - | 0 | 1 | - | Unknown |
| Holmdel Advisors, LLC CRD: 108646 | - | 0 | 0 | - | Unknown |
| Holmes & Turner Financial Services, Inc. CRD: 113553 | - | 0 | 2 | - | Unknown |
| Holmes Investment Management, Inc. CRD: 123920 | - | 0 | 5 | - | Unknown |
| Holmes Murphy and Associates, LLC CRD: 156122 | - | 0 | 0 | - | Unknown |
| Holocene Advisors, LP CRD: 287999 | - | 0 | 1 | - | Unknown |
| Holon Wealth Management CRD: 336780 | - | 0 | 1 | - | Unknown |
| Holos Asset Management CRD: 142952 | - | 0 | 0 | - | Unknown |
| Holos Consulting Group, LLC CRD: 327700 | - | 0 | 1 | - | Unknown |
| Holos Integrated Wealth CRD: 329884 | - | 0 | 1 | - | Unknown |
| Holowesko Partners Ltd. CRD: 155703 | - | 0 | 0 | - | Unknown |
| Holt & Collins CRD: 2222 | - | 9 | 0 | D | INACTIVE |
| Holt Capital Partners, L.P. CRD: 117863 | - | 0 | 2 | - | Unknown |
| Holt Investment Advisors CRD: 135659 | - | 0 | 1 | - | Unknown |
| Holt Investment Partners LLC CRD: 339917 | - | 0 | 1 | - | Unknown |
| Holt Wealth Management LLC CRD: 318304 | - | 0 | 1 | - | Unknown |
| Holt Xchange Inc. CRD: 330623 | - | 0 | 0 | - | Unknown |
| Holtdex, LLC CRD: 297502 | - | 0 | 0 | - | Unknown |
| Holte Financial Services, LLC CRD: 291854 | - | 0 | 0 | - | Unknown |
| Holton & Kosanke Wealth Management, LLC CRD: 288963 | - | 0 | 3 | - | Unknown |
| Holtzman & Silverman Securities, Inc. CRD: 16421 | - | 0 | 0 | A | INACTIVE |
| Holy City Prosperity, LLC CRD: 316593 | - | 0 | 1 | - | Unknown |
| Holyoak Wealth Management, LLC CRD: 170868 | - | 0 | 1 | - | Unknown |
| Holzberg Wealth Management, Inc. CRD: 166712 | - | 0 | 1 | - | Unknown |
| Holzer & Company, Inc. CRD: 120685 | - | 0 | 0 | - | Unknown |
| Homaer Financial CRD: 282081 | - | 0 | 0 | - | Unknown |
| Homage Wealth Group LLC CRD: 340589 | - | 0 | 1 | - | Unknown |
| Homan Wealth Advisors, LLC CRD: 129433 | - | 0 | 0 | - | Unknown |
| Homans, Mcgraw, Trull, Valeo & Co., Inc. CRD: 14647 | - | 0 | 0 | A | INACTIVE |
| Home FED Investment Services CRD: 16137 | - | 0 | 0 | A | INACTIVE |