Broker-Dealer Firms
868 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 |
|---|---|---|---|---|---|
| Forte Securities LLC CRD: 38373 | NY | 3 | 2 | B | Active |
| Fortress Capital Formation LLC CRD: 152385 | NY | 0 | 3 | A | Active |
| FR Trading LLC CRD: 318566 | NY | 0 | 2 | A | Active |
| Fred Alger & Company, LLC CRD: 5300 | NY | 7 | 3 | C | Active |
| Fredericks Michael Securities, Inc. CRD: 46725 | NY | 0 | 2 | A | Active |
| Fundamental Interactions Neutron Direct, LLC CRD: 322233 | NY | 0 | 2 | A | Active |
| Fusion Partners Global LLC CRD: 291875 | NY | 0 | 2 | A | Active |
| G.DISTRIBUTORS, LLC CRD: 155071 | NY | 0 | 3 | A | Active |
| G.RESEARCH, LLC CRD: 7353 | NY | 6 | 2 | C | Active |
| GA Capital Markets BD, LLC CRD: 310101 | NY | 0 | 2 | A | Active |
| Gagnon Securities, LLC CRD: 103727 | NY | 0 | 3 | A | Active |
| Galaxy Digital Partners LLC CRD: 289605 | NY | 0 | 2 | A | Active |
| Galaxy Securities, LLC CRD: 330599 | NY | 0 | 2 | A | Active |
| Galileo Global Securities, LLC CRD: 140076 | NY | 0 | 2 | A | Active |
| Gallagher Securities, Inc CRD: 116605 | NY | 1 | 4 | B | Active |
| Gallatin Capital LLC CRD: 124738 | NY | 1 | 2 | B | Active |
| Gary Hoch Agency, Inc. CRD: 8062 | NY | 0 | 2 | A | Active |
| Gemini Galactic Markets, LLC CRD: 304761 | NY | 0 | 2 | A | Active |
| General Wellington Capital LLC CRD: 282139 | NY | 0 | 2 | A | Active |
| GFI Securities LLC CRD: 19982 | NY | 30 | 11 | C | Active |
| GHP Securities LLC CRD: 336336 | NY | 0 | 1 | A | Active |
| Gilder Gagnon Howe & Co. LLC CRD: 2002 | NY | 5 | 9 | B | Active |
| GLC Securities, LLC CRD: 153581 | NY | 0 | 5 | A | Active |
| GLMX Technologies, LLC CRD: 289301 | NY | 0 | 2 | A | Active |
| Global Carry LLC CRD: 332522 | NY | 0 | 2 | A | Active |
| Global Frontera Markets Inc. CRD: 144634 | NY | 1 | 2 | B | Active |
| Global Pacific Securities US, Inc. CRD: 304566 | NY | 0 | 2 | A | Active |
| Global Trading X CRD: 337667 | NY | 0 | 1 | A | Active |
| Globetech Securities LLC CRD: 306611 | NY | 0 | 2 | A | Active |
| Gold Street Capital, LLC CRD: 282643 | NY | 0 | 2 | A | Active |
| Golden Eagle Securities, Inc. CRD: 19586 | NY | 5 | 2 | C | Active |
| Goldman Sachs & Co. LLC CRD: 361 | NY | 433 | 37 | D | Active |
| Gordian Group, LLC CRD: 24034 | NY | 0 | 2 | A | Active |
| Gordon Dyal & Co., LLC CRD: 284175 | NY | 0 | 2 | A | Active |
| Gordon, Haskett Capital Corporation CRD: 7976 | NY | 3 | 2 | B | Active |
| Grafine Capital Partners LLC CRD: 302046 | NY | 0 | 2 | A | Active |
| Greenhill & Co., LLC CRD: 40290 | NY | 1 | 6 | B | Active |
| Greensledge Capital Markets LLC CRD: 151026 | NY | 0 | 2 | A | Active |
| Griffin Securities, Inc. CRD: 43229 | NY | 1 | 2 | B | Active |
| GSP Securities LLC CRD: 146250 | NY | 1 | 1 | B | Active |
| GSR Securities LLC CRD: 155530 | NY | 0 | 2 | A | Active |
| GTN Americas Financial Services CRD: 315499 | NY | 0 | 2 | A | Active |
| GTS Execution Services LLC CRD: 306364 | NY | 0 | 3 | A | Active |
| Guggenheim Securities, LLC CRD: 40638 | NY | 10 | 19 | C | Active |
| H.C.WAINWRIGHT & Co., LLC CRD: 375 | NY | 16 | 2 | D | Active |
| Haitong International Securities (USA) Inc. CRD: 132201 | NY | 1 | 2 | B | Active |
| Halliday Financial, LLC CRD: 31741 | NY | 1 | 5 | B | Active |
| Hamilton Cavanaugh & Associates, Inc. CRD: 35972 | NY | 0 | 2 | A | Active |
| Hamilton Executions LLC CRD: 127653 | NY | 3 | 1 | C | Active |
| Handelsbanken Markets Securities, Inc. CRD: 38485 | NY | 0 | 2 | A | Active |