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 |
|---|---|---|---|---|---|
| Amaral Financial Planning CRD: 316681 | - | 0 | 1 | - | Unknown |
| Amaranth Advisors L.L.C. CRD: 163310 | - | 0 | 0 | - | Unknown |
| Amaranth Global Securities LLC CRD: 126845 | - | 0 | 0 | A | INACTIVE |
| Amaranth International Advisors L.L.C. CRD: 163312 | - | 0 | 0 | - | Unknown |
| Amaranth Securities L.L.C. CRD: 42887 | - | 0 | 0 | A | INACTIVE |
| Amaranthine CRD: 297964 | - | 0 | 0 | - | Unknown |
| Amaretta Financial, LLC CRD: 174069 | - | 0 | 0 | - | Unknown |
| Amarna Capital Partners CRD: 327900 | - | 0 | 1 | - | Unknown |
| Amasia Management PTE Ltd CRD: 283159 | - | 0 | 0 | - | Unknown |
| Amasia Management, LLC CRD: 171756 | - | 0 | 1 | - | Unknown |
| Amass Wealth Ventures, LLC CRD: 319120 | - | 0 | 1 | - | Unknown |
| Amatemint Group, LLC CRD: 322768 | - | 0 | 1 | - | Unknown |
| Amauta Financial CRD: 281419 | - | 0 | 1 | - | Unknown |
| Amazonia Wealth Management, LLC CRD: 172963 | - | 0 | 0 | - | Unknown |
| Amazz Investment Management, Inc. CRD: 126545 | - | 0 | 1 | - | Unknown |
| AMB Financial LLC CRD: 329930 | - | 0 | 1 | - | Unknown |
| AMB Wealth, LLC CRD: 113106 | - | 0 | 6 | - | Unknown |
| Ambanc Securities, Inc. CRD: 16351 | - | 0 | 0 | A | INACTIVE |
| Ambar Securities, Inc. CRD: 14916 | - | 0 | 0 | A | INACTIVE |
| Ambassador Capital Management, Inc. CRD: 124116 | - | 0 | 0 | - | Unknown |
| Ambastha Financial LLC CRD: 300294 | - | 0 | 3 | - | Unknown |
| Amber Capital CRD: 136167 | - | 0 | 0 | - | Unknown |
| Amber Capital CRD: 293867 | - | 0 | 0 | - | Unknown |
| Amber Equity Corporation CRD: 13300 | - | 0 | 0 | A | INACTIVE |
| Amber Infrastructure Investment Advisor LLC CRD: 328406 | - | 0 | 1 | - | Unknown |
| Amber Partners Ltd. CRD: 137086 | - | 0 | 0 | - | Unknown |
| Amber Road Investors LP CRD: 342249 | - | 0 | 1 | - | Unknown |
| Amber Trust II Management S.A. CRD: 162770 | - | 0 | 0 | - | Unknown |
| Amber Wealth Advisors, LLC CRD: 325953 | - | 0 | 1 | - | Unknown |
| Amberjack Capital Partners, L.P. CRD: 161464 | - | 0 | 3 | - | Unknown |
| Amberlake Partners SAM CRD: 322274 | - | 0 | 0 | - | Unknown |
| Amberstone CRD: 316613 | - | 0 | 1 | - | Unknown |
| Amberwave Partners CRD: 317103 | - | 0 | 0 | - | Unknown |
| Ambienta SGR CRD: 172414 | - | 0 | 0 | - | Unknown |
| Ambienta SGR S.P.A. CRD: 292352 | - | 0 | 0 | - | Unknown |
| Ambiente GP, LLC CRD: 319335 | - | 0 | 1 | - | Unknown |
| Ambina Partners LLC CRD: 298373 | - | 0 | 1 | - | Unknown |
| Ambit America Inc. CRD: 173795 | - | 0 | 0 | A | INACTIVE |
| Ambit Health Ventures Management II, LLC CRD: 334895 | - | 0 | 1 | - | Unknown |
| Ambit Health Ventures Management, LLC CRD: 313796 | - | 0 | 1 | - | Unknown |
| Ambit Mauritius Investment Managers Private Limite… CRD: 291071 | - | 0 | 0 | - | Unknown |
| Ambition Management CRD: 304606 | - | 0 | 0 | - | Unknown |
| Ambiview Advisors, LLC CRD: 312702 | - | 0 | 2 | - | Unknown |
| Ambix Venture Management, LLC CRD: 316862 | - | 0 | 1 | - | Unknown |
| Ambleside Investments CRD: 326912 | - | 0 | 0 | - | Unknown |
| Amboy Street Ventures, LLC CRD: 318080 | - | 0 | 1 | - | Unknown |
| Ambria Capital, LLC CRD: 306975 | - | 0 | 1 | - | Unknown |
| Ambrose Capital Advisors, LLC CRD: 341604 | - | 0 | 1 | - | Unknown |
| Ambrose Wealth LLC CRD: 325561 | - | 0 | 0 | - | Unknown |
| Ambrose Wealth Management CRD: 269838 | - | 0 | 1 | - | Unknown |