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 |
|---|---|---|---|---|---|
| 29 Street LLC CRD: 173291 | - | 0 | 0 | - | Unknown |
| 2903 Capital LLC CRD: 324985 | - | 0 | 0 | - | Unknown |
| 2946 Ventures GP, LLC CRD: 335336 | - | 0 | 1 | - | Unknown |
| 2Adapt Investment Advisory, LLC CRD: 155653 | - | 0 | 0 | - | Unknown |
| 2AM Ventures LLC CRD: 313861 | - | 0 | 1 | - | Unknown |
| 2by2 Capital, LLC CRD: 317006 | - | 0 | 1 | - | Unknown |
| 2E Capital Partners LP CRD: 334821 | - | 0 | 1 | - | Unknown |
| 2K Capital L.L.C. CRD: 330872 | - | 0 | 1 | - | Unknown |
| 2M Asset Management, LLC CRD: 310712 | - | 0 | 0 | - | Unknown |
| 2N Capital GP LLC CRD: 312950 | - | 0 | 0 | - | Unknown |
| 2N Capital GP LLC CRD: 333796 | - | 0 | 1 | - | Unknown |
| 2ND Half Capital, LLC CRD: 316924 | - | 0 | 1 | - | Unknown |
| 2ND Market Capital Advisory Corp. CRD: 111562 | - | 0 | 2 | - | Unknown |
| 2ND ST. Capital Management LLC. CRD: 174022 | - | 0 | 0 | - | Unknown |
| 2ND Story Wealth Planners CRD: 325409 | - | 0 | 1 | - | Unknown |
| 2ND Vote Advisers, LLC. CRD: 309393 | - | 0 | 0 | - | Unknown |
| 2ONE Capital LLC CRD: 310078 | - | 0 | 0 | - | Unknown |
| 2Pifinancial Corp. CRD: 326171 | - | 0 | 2 | - | Unknown |
| 2Point0 Financial CRD: 317655 | - | 0 | 0 | - | Unknown |
| 2Rose1SKY Capital, LLC CRD: 285185 | - | 0 | 0 | - | Unknown |
| 2W Capital Management, LLC CRD: 339915 | - | 0 | 1 | - | Unknown |
| 2Xideas CRD: 328190 | - | 0 | 1 | - | Unknown |
| 3 A&D LLC CRD: 167273 | - | 0 | 1 | - | Unknown |
| 3 Boomerang Capital, LP CRD: 326929 | - | 0 | 1 | - | Unknown |
| 3 Bridges Securities CRD: 2474 | - | 1 | 0 | B | INACTIVE |
| 3 Factor Indexing, LLC CRD: 160356 | - | 0 | 1 | - | Unknown |
| 3 Management Co, LLC CRD: 324187 | - | 0 | 1 | - | Unknown |
| 3 Mark Equities, Inc. CRD: 104276 | - | 0 | 0 | A | INACTIVE |
| 3 Peaks Financial CRD: 296817 | - | 0 | 1 | - | Unknown |
| 3 Strong Ships Capital, LLC CRD: 167712 | - | 0 | 0 | - | Unknown |
| 3(38) Investment Fiduciaries CRD: 298053 | - | 0 | 2 | - | Unknown |
| 3-S Board Broker Corp CRD: 31486 | - | 0 | 0 | A | INACTIVE |
| 3.0 Fund Management CRD: 319763 | - | 0 | 1 | - | Unknown |
| 3.0 Fund Management, LLC CRD: 301492 | - | 0 | 0 | - | Unknown |
| 30-40 Wealth Partners CRD: 311073 | - | 0 | 1 | - | Unknown |
| 303 Advisors, LLC CRD: 175231 | - | 0 | 0 | - | Unknown |
| 303 Alternatives, LLC CRD: 166675 | IL | 0 | 1 | A | Active |
| 303 Equity Trading Group II, LLC CRD: 147292 | - | 0 | 0 | A | INACTIVE |
| 303 Securities, LP CRD: 288569 | IL | 1 | 1 | B | Active |
| 3030 Securities, Inc. CRD: 14089 | - | 0 | 0 | A | INACTIVE |
| 3050 23RD GP, LLC CRD: 305363 | - | 0 | 0 | - | Unknown |
| 308 Financial CRD: 329269 | - | 0 | 0 | - | Unknown |
| 31 Moorgate, Inc. CRD: 309368 | - | 0 | 1 | - | Unknown |
| 31 North Wealth Management, LLC CRD: 286598 | - | 0 | 0 | - | Unknown |
| 311 Capital Management LLC CRD: 339092 | - | 0 | 1 | - | Unknown |
| 31Moorgate, Inc. CRD: 174238 | - | 0 | 0 | - | Unknown |
| 32 Degrees Capital Advisors, Ltd CRD: 162483 | - | 0 | 0 | - | Unknown |
| 320 Life Financial Planning CRD: 300987 | - | 0 | 2 | - | Unknown |
| 323 Wealth Management, LLC CRD: 307266 | - | 0 | 1 | - | Unknown |
| 325 Capital CRD: 310762 | - | 0 | 1 | - | Unknown |