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 |
|---|---|---|---|---|---|
| Horizon Kinetics Asset Management LLC CRD: 106096 | - | 0 | 2 | - | Unknown |
| Horizon Planning Inc. CRD: 119371 | - | 0 | 0 | - | Unknown |
| Horizon Ridge Advisors L.L.C. CRD: 341038 | - | 0 | 1 | - | Unknown |
| Horizon Securities, Inc. CRD: 10687 | - | 0 | 0 | A | INACTIVE |
| Horizon Technology Finance CRD: 153052 | - | 0 | 1 | - | Unknown |
| Horizon Trading,Inc. CRD: 14230 | - | 0 | 0 | A | INACTIVE |
| Horizon Ventures CRD: 162288 | - | 0 | 0 | - | Unknown |
| Horizon Wealth CRD: 333752 | - | 0 | 6 | - | Unknown |
| Horizon Wealth Advisors CRD: 148338 | - | 0 | 2 | - | Unknown |
| Horizon Wealth Advisors CRD: 114102 | - | 0 | 3 | - | Unknown |
| Horizon Wealth Group, LLC CRD: 318936 | - | 0 | 1 | - | Unknown |
| Horizon Wealth Management CRD: 170255 | - | 0 | 3 | - | Unknown |
| Horizon Wealth Management, LLC CRD: 118731 | - | 0 | 2 | - | Unknown |
| Horizon Wealth Solutions LLC CRD: 334562 | - | 0 | 0 | - | Unknown |
| Horizons Etfs Management (Latam) LLC CRD: 165363 | - | 0 | 0 | - | Unknown |
| Horizons Etfs Management (US) LLC CRD: 169320 | - | 0 | 0 | - | Unknown |
| Horizons Etfs Management (USA) LLC CRD: 164966 | - | 0 | 0 | - | Unknown |
| Horizons Financial Group, Inc. CRD: 135432 | - | 0 | 0 | - | Unknown |
| Horizons Financial Planning CRD: 308216 | - | 0 | 2 | - | Unknown |
| Horizons Financial Planning Corporation CRD: 129287 | - | 0 | 0 | - | Unknown |
| Horizons International Corporation CRD: 20530 | - | 0 | 0 | A | INACTIVE |
| Horizons Planning Corporation CRD: 115179 | - | 0 | 1 | - | Unknown |
| Horizons Sustainable Financial Services, Inc. CRD: 164970 | - | 0 | 5 | - | Unknown |
| Horizons Wealth Management CRD: 127457 | - | 0 | 2 | - | Unknown |
| Hormaza Capital Advisory, LLC CRD: 341271 | - | 0 | 2 | - | Unknown |
| Horn Eichenwald Investments Corp. CRD: 140533 | - | 0 | 0 | - | Unknown |
| Horn Investment Services, Inc. CRD: 119787 | - | 0 | 0 | - | Unknown |
| Horn, Hunter & Welch, Inc. CRD: 26097 | - | 0 | 0 | A | INACTIVE |
| Hornblower & Weeks, Inc. CRD: 4683 | - | 21 | 0 | F | INACTIVE |
| Hornblower Capital Corporation CRD: 22099 | - | 0 | 0 | A | INACTIVE |
| Hornblower Fischer & Co. CRD: 10885 | - | 2 | 0 | B | INACTIVE |
| Horne Securities Corporation CRD: 10565 | - | 0 | 0 | A | INACTIVE |
| Horne Wealth Advisors, LLC CRD: 151067 | - | 0 | 0 | - | Unknown |
| Horner Street Capital Management, LLC CRD: 285711 | - | 0 | 0 | - | Unknown |
| Horner, Barksdale & Co. CRD: 2232 | - | 0 | 0 | A | INACTIVE |
| Hornet Management, LLC CRD: 167134 | - | 0 | 1 | - | Unknown |
| Hornik Capital Management CRD: 337353 | - | 0 | 0 | - | Unknown |
| Hornor, Townsend & Kent, LLC CRD: 4031 | PA | 17 | 307 | B | Active |
| Hornsby Asset Management, LLC CRD: 170180 | - | 0 | 2 | - | Unknown |
| Horowitz & Company, Inc. CRD: 106737 | - | 0 | 1 | - | Unknown |
| Horrell Capital Management, Inc. CRD: 115711 | - | 0 | 1 | - | Unknown |
| Horrigan American Securities, Inc. CRD: 23581 | - | 0 | 0 | A | INACTIVE |
| Horse Cove Partners LLC CRD: 172389 | - | 0 | 6 | - | Unknown |
| Horseshoe Capital Partners LLC CRD: 321821 | - | 0 | 0 | - | Unknown |
| Horsley Bridge Partners LLC CRD: 110877 | - | 0 | 1 | - | Unknown |
| Horst & Graben Wealth Management, LLC CRD: 297368 | - | 0 | 1 | - | Unknown |
| Horst, Roger Eugene CRD: 149458 | - | 0 | 0 | - | Unknown |
| Horter Investment Management, LLC CRD: 119880 | - | 0 | 24 | - | Unknown |
| Horton Financial Planning LLC CRD: 130103 | - | 0 | 1 | - | Unknown |
| Horton Financial Strategies CRD: 171796 | - | 0 | 0 | - | Unknown |