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 |
|---|---|---|---|---|---|
| Howlett TAX Services, Inc CRD: 332582 | - | 0 | 1 | - | Unknown |
| Hoxton Planning & Management, LLC CRD: 319087 | - | 0 | 1 | - | Unknown |
| Hoxton Ventures CRD: 322671 | - | 0 | 0 | - | Unknown |
| Hoxton Wealth USA LLC CRD: 307387 | - | 0 | 5 | - | Unknown |
| Hoya Capital Real Estate, LLC CRD: 281848 | - | 0 | 2 | - | Unknown |
| Hoyem Wealth Management, LLC CRD: 150882 | - | 0 | 0 | - | Unknown |
| Hoyl Wealth Management, LLC CRD: 330630 | - | 0 | 1 | - | Unknown |
| Hoyle Capital, LLC CRD: 304651 | - | 0 | 1 | - | Unknown |
| Hoylecohen, LLC CRD: 141125 | - | 0 | 0 | - | Unknown |
| Hoyt Securities CRD: 13739 | - | 0 | 0 | A | INACTIVE |
| Hoyt Wealth Management CRD: 171448 | - | 0 | 0 | - | Unknown |
| Hoyt Wealth Management CRD: 310023 | - | 0 | 1 | - | Unknown |
| Hozie Consulting CRD: 310894 | - | 0 | 2 | - | Unknown |
| HP & Associates CRD: 300587 | - | 0 | 1 | - | Unknown |
| HP Wealth Management LLC CRD: 330115 | - | 0 | 1 | - | Unknown |
| HPA Financial Group, LLC CRD: 289062 | - | 0 | 1 | - | Unknown |
| HPC Financial Services, LLC CRD: 170013 | - | 0 | 0 | - | Unknown |
| HPE Capital Management II, LLC CRD: 283607 | - | 0 | 1 | - | Unknown |
| Hpef Capital Partners Limited CRD: 162513 | - | 0 | 0 | - | Unknown |
| Hpef Venture Partners Limited CRD: 162506 | - | 0 | 0 | - | Unknown |
| HPI Corporation CRD: 14273 | - | 0 | 0 | A | INACTIVE |
| HPL Retirement Solutions, LLC CRD: 325556 | - | 0 | 0 | - | Unknown |
| HPM Partners Advisor Alliance LLC CRD: 155647 | - | 0 | 0 | - | Unknown |
| HPO Americas Ltd. CRD: 311519 | - | 0 | 0 | - | Unknown |
| HPS Advisors, LLC CRD: 324983 | - | 0 | 1 | - | Unknown |
| HPS Investment Partners, LLC CRD: 282125 | - | 0 | 1 | - | Unknown |
| HPS Securities, LLC CRD: 319197 | NY | 0 | 7 | A | Active |
| HPS Solutions LLC CRD: 319461 | - | 0 | 1 | - | Unknown |
| HQ Capital (Deutschland) GMBH CRD: 336628 | - | 0 | 0 | - | Unknown |
| HQ Capital Private Equity LLC CRD: 134231 | - | 0 | 1 | - | Unknown |
| HQ Investments LLC CRD: 318679 | - | 0 | 0 | - | Unknown |
| HR Advocates, Inc. CRD: 163588 | - | 0 | 1 | - | Unknown |
| HR Benefit Advisors, Ltd. CRD: 140466 | - | 0 | 0 | - | Unknown |
| HR Investment Consultants, Inc. CRD: 115623 | - | 0 | 2 | - | Unknown |
| HRC Financial CRD: 327285 | - | 0 | 2 | - | Unknown |
| HRC Fund Associates, LLC CRD: 142846 | NY | 0 | 2 | A | Active |
| HRC Wealth Management, LLC CRD: 117212 | - | 0 | 4 | - | Unknown |
| HRH Financial, LLC CRD: 143974 | - | 0 | 0 | - | Unknown |
| HRH Securities, Inc. CRD: 25614 | - | 0 | 0 | A | INACTIVE |
| HRH Securities, LLC CRD: 104445 | - | 0 | 0 | A | INACTIVE |
| HRT Execution Services LLC CRD: 128491 | NY | 9 | 3 | C | Active |
| HRT Financial LP CRD: 152144 | NY | 10 | 4 | D | Active |
| HRTG GPE, LLC CRD: 157389 | - | 0 | 1 | - | Unknown |
| HS & Co., Inc. CRD: 42612 | - | 0 | 0 | A | INACTIVE |
| HS Group (Hong Kong) Limited CRD: 172043 | - | 0 | 0 | - | Unknown |
| HS Management Partners, LLC CRD: 145480 | - | 0 | 3 | - | Unknown |
| HS TAX Wealth MGMT, LLC CRD: 326595 | - | 0 | 1 | - | Unknown |
| HS Wealth Partners CRD: 330640 | - | 0 | 5 | - | Unknown |
| HSBC Alternative Investments Limited CRD: 172486 | - | 0 | 0 | - | Unknown |
| HSBC Asset Management (India) Private Limited CRD: 324468 | - | 0 | 0 | - | Unknown |