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 |
|---|---|---|---|---|---|
| Horton Point LLC CRD: 164750 | - | 0 | 0 | - | Unknown |
| Horton, Geib & O'rourke, Inc. CRD: 6406 | - | 0 | 0 | A | INACTIVE |
| Horton, Troy W. CRD: 155146 | - | 0 | 0 | - | Unknown |
| Horus Capital Management, LLC CRD: 155636 | - | 0 | 0 | - | Unknown |
| Horus Financial LLC CRD: 289107 | - | 0 | 0 | - | Unknown |
| Horwich Securities CRD: 14072 | - | 0 | 0 | A | INACTIVE |
| Hosen Capital (Cayman), Ltd. CRD: 284542 | - | 0 | 0 | - | Unknown |
| Hosen FCV GP, Ltd. CRD: 319726 | - | 0 | 0 | - | Unknown |
| Hosen Private Equity III GP, Ltd. CRD: 308389 | - | 0 | 0 | - | Unknown |
| Hoskin Capital CRD: 310527 | - | 0 | 3 | - | Unknown |
| Hosking Partners LLP CRD: 173527 | - | 0 | 0 | - | Unknown |
| Hoskins Financial, LLC CRD: 319452 | - | 0 | 1 | - | Unknown |
| Hospitality Capital Corporation CRD: 14307 | - | 0 | 0 | A | INACTIVE |
| Hostone SA CRD: 306138 | - | 0 | 0 | - | Unknown |
| HOT Creek Capital, L.L.C. CRD: 162371 | - | 0 | 1 | - | Unknown |
| Hotaling Investment Management, LLC CRD: 164270 | - | 0 | 0 | - | Unknown |
| Hotchkis and Wiley Capital Management, LLC CRD: 114649 | - | 0 | 1 | - | Unknown |
| Hotel Condominium Investments, Inc. CRD: 19503 | - | 0 | 0 | A | INACTIVE |
| Hotovec, Pomeranz & Co., LLC CRD: 41178 | - | 3 | 0 | B | INACTIVE |
| Hottinger CRD: 316515 | - | 0 | 0 | - | Unknown |
| Hottinger Brothers & Co., Inc. CRD: 10621 | - | 0 | 0 | A | INACTIVE |
| Houben Planning Associates Inc. CRD: 130314 | - | 0 | 2 | - | Unknown |
| Houchin, Adamson & Co., Inc. CRD: 8313 | - | 0 | 0 | A | INACTIVE |
| Houchin, Adamson, L.L.C CRD: 42769 | - | 0 | 0 | A | INACTIVE |
| Houdina Investments L.L.C. CRD: 46665 | - | 0 | 0 | A | INACTIVE |
| Houghton Capital Corporation CRD: 14393 | - | 0 | 0 | A | INACTIVE |
| Houlihan Asset Management LLC CRD: 121586 | - | 0 | 2 | - | Unknown |
| Houlihan Capital, LLC CRD: 156028 | IL | 2 | 3 | B | Active |
| Houlihan Financial Resource Group, Ltd. CRD: 116670 | - | 0 | 2 | - | Unknown |
| Houlihan Lokey CRD: 112214 | - | 0 | 0 | - | Unknown |
| Houlihan Lokey Advisors, LLC CRD: 127835 | - | 0 | 0 | A | INACTIVE |
| Houlihan Lokey Capital, Inc. CRD: 17708 | CA | 2 | 14 | C | Active |
| Hound Partners CRD: 155551 | - | 0 | 1 | - | Unknown |
| Houndstooth Capital Investment Advisors, LLC CRD: 165706 | - | 0 | 0 | - | Unknown |
| Houndstooth Investment Management CRD: 331030 | - | 0 | 1 | - | Unknown |
| Hourglass Capital, LLC CRD: 147754 | - | 0 | 1 | - | Unknown |
| Housatonic Partners CRD: 157618 | - | 0 | 1 | - | Unknown |
| House Capital Advisors, LLC CRD: 289898 | - | 0 | 1 | - | Unknown |
| House Hanover LLC CRD: 284838 | - | 0 | 1 | - | Unknown |
| House Holdings Management, LLC CRD: 341716 | - | 0 | 1 | - | Unknown |
| House Investments Securities, Inc. CRD: 17592 | - | 0 | 0 | A | INACTIVE |
| House of Avery, Limited CRD: 13731 | - | 0 | 0 | A | INACTIVE |
| Household Investors Company, Inc. CRD: 2237 | - | 0 | 0 | A | INACTIVE |
| Householder Group Estate & Retirement Specialists CRD: 169045 | - | 0 | 0 | - | Unknown |
| Houseman Financial LLC CRD: 337624 | - | 0 | 1 | - | Unknown |
| Houseman Securities, Inc. CRD: 6978 | - | 0 | 0 | A | INACTIVE |
| Housing Acquisitions, LP CRD: 314913 | - | 0 | 0 | - | Unknown |
| Houssels Capital Management, LLC CRD: 121086 | - | 0 | 1 | - | Unknown |
| Houston Asset Management, Inc. CRD: 114126 | - | 0 | 0 | - | Unknown |
| Houston Investment Securities Brokerage Services, … CRD: 18351 | - | 0 | 0 | A | INACTIVE |