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 |
|---|---|---|---|---|---|
| Hoplon Asset Management, L.P. CRD: 318798 | - | 0 | 1 | - | Unknown |
| Hoplon Investment Partners LLP CRD: 327125 | - | 0 | 0 | - | Unknown |
| Hopp Wealth Management CRD: 128831 | - | 0 | 0 | - | Unknown |
| Hopper Securities-Vermont CRD: 4709 | - | 0 | 0 | A | INACTIVE |
| Hopper Soliday & Co., Inc. CRD: 409 | - | 0 | 0 | A | INACTIVE |
| Hopper Soliday & Co., Inc. CRD: 20838 | - | 0 | 0 | A | INACTIVE |
| Hopwood Financial Services, Inc. CRD: 127927 | - | 0 | 6 | - | Unknown |
| Horace Mann Investors, Inc. CRD: 11643 | IL | 6 | 287 | B | Active |
| Horan Capital Advisors, LLC CRD: 152888 | - | 0 | 0 | - | Unknown |
| Horan Capital Management,LLC CRD: 106415 | - | 0 | 0 | - | Unknown |
| Horan Investments Corp. CRD: 42094 | - | 1 | 0 | B | INACTIVE |
| Horan Securities, Inc. CRD: 40794 | - | 2 | 0 | B | INACTIVE |
| Horan Wealth, LLC CRD: 333974 | - | 0 | 2 | - | Unknown |
| Horang Securities, LLC CRD: 6004 | NY | 2 | 1 | B | Active |
| Horatio Capital LLC CRD: 132142 | - | 0 | 0 | A | INACTIVE |
| Hordis Financial Services CRD: 129170 | - | 0 | 0 | - | Unknown |
| Horicon Wealth Management CRD: 338351 | - | 0 | 1 | - | Unknown |
| Horiko Capital Management LLC CRD: 126343 | - | 0 | 1 | - | Unknown |
| Horizon Advisers CRD: 111983 | - | 0 | 0 | - | Unknown |
| Horizon Advisors, LLC CRD: 305250 | - | 0 | 1 | - | Unknown |
| Horizon Asset LLP CRD: 159944 | - | 0 | 0 | - | Unknown |
| Horizon Asset Management CRD: 109613 | - | 0 | 0 | - | Unknown |
| Horizon Capital Advisors CRD: 162051 | - | 0 | 0 | - | Unknown |
| Horizon Capital LLP CRD: 162167 | - | 0 | 0 | - | Unknown |
| Horizon Capital Management, Inc. CRD: 115815 | - | 0 | 5 | - | Unknown |
| Horizon Capital Management, Inc. CRD: 110400 | - | 0 | 2 | - | Unknown |
| Horizon Capital Management, LLC CRD: 132113 | - | 0 | 1 | - | Unknown |
| Horizon Capital, Inc. CRD: 41362 | - | 1 | 0 | B | INACTIVE |
| Horizon Capital, Incorporated CRD: 20754 | - | 0 | 0 | A | INACTIVE |
| Horizon Consulting & Investment Services, Inc. CRD: 117566 | - | 0 | 0 | - | Unknown |
| Horizon Development Management LLC CRD: 162517 | - | 0 | 0 | - | Unknown |
| Horizon Digital Asset Advisors CRD: 317524 | - | 0 | 0 | - | Unknown |
| Horizon Family Wealth, Inc. CRD: 315484 | - | 0 | 1 | - | Unknown |
| Horizon Financial CRD: 321088 | - | 0 | 0 | - | Unknown |
| Horizon Financial CRD: 305239 | - | 0 | 12 | - | Unknown |
| Horizon Financial Advisors LLC CRD: 297768 | - | 0 | 1 | - | Unknown |
| Horizon Financial Advisors, Inc. CRD: 113196 | - | 0 | 0 | - | Unknown |
| Horizon Financial Advisors, LLC CRD: 127215 | - | 0 | 1 | - | Unknown |
| Horizon Financial Group, Inc. CRD: 129063 | - | 0 | 2 | - | Unknown |
| Horizon Financial Investment Corporation CRD: 13562 | - | 0 | 0 | A | INACTIVE |
| Horizon Financial Services, Inc. CRD: 31146 | - | 0 | 0 | A | INACTIVE |
| Horizon Financial Services, LLC CRD: 158798 | - | 0 | 2 | - | Unknown |
| Horizon Founders Capital, LLC CRD: 319256 | - | 0 | 1 | - | Unknown |
| Horizon Group, Inc. (the) CRD: 15978 | - | 0 | 0 | A | INACTIVE |
| Horizon Harvest Financial Planning CRD: 269969 | - | 0 | 1 | - | Unknown |
| Horizon Holding International LLP CRD: 287805 | - | 0 | 0 | - | Unknown |
| Horizon Investment Counsel LLC CRD: 284794 | - | 0 | 2 | - | Unknown |
| Horizon Investment Group LLC CRD: 44904 | - | 0 | 0 | A | INACTIVE |
| Horizon Investment Services, LLC. CRD: 110642 | - | 0 | 4 | - | Unknown |
| Horizon Investments LLC CRD: 109552 | - | 0 | 3 | - | Unknown |