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 |
|---|---|---|---|---|---|
| ICE Bonds Securities Corporation CRD: 123635 | NY | 1 | 6 | B | Active |
| ICE Canyon LLC CRD: 144896 | - | 0 | 0 | - | Unknown |
| ICE Data Pricing & Reference Data, LLC CRD: 110037 | - | 0 | 1 | - | Unknown |
| ICE Execution Services, LLC CRD: 146496 | - | 0 | 0 | A | INACTIVE |
| ICE Lake Capital Management B.V. CRD: 332289 | - | 0 | 0 | - | Unknown |
| ICE Securities Execution & Clearing, LLC CRD: 299634 | NY | 0 | 3 | A | Active |
| ICE Securities LLC CRD: 37472 | - | 0 | 0 | A | INACTIVE |
| Icebridge Financial Group CRD: 323346 | - | 0 | 2 | - | Unknown |
| Icecap Group CRD: 311489 | - | 0 | 0 | - | Unknown |
| Icember Advisers Inc. CRD: 299931 | - | 0 | 0 | - | Unknown |
| ICF/the Smock Quinn Group Securities, Inc. CRD: 26500 | - | 0 | 0 | A | INACTIVE |
| ICG Advisors, LLC CRD: 148066 | - | 0 | 2 | - | Unknown |
| ICG Alternative Investment Limited CRD: 277159 | - | 0 | 0 | - | Unknown |
| ICG Alternative Investment Limited CRD: 331768 | - | 0 | 0 | - | Unknown |
| ICG Europe S.A.R.L. CRD: 297544 | - | 0 | 0 | - | Unknown |
| ICG Investments Inc CRD: 162589 | - | 0 | 1 | - | Unknown |
| ICG Manager Limited CRD: 161919 | - | 0 | 0 | - | Unknown |
| ICG Securities Ltd. CRD: 8351 | - | 4 | 0 | C | INACTIVE |
| Ichigo Asset Management International PTE Ltd CRD: 160070 | - | 0 | 0 | - | Unknown |
| Ichinose Securities, Inc. CRD: 15599 | - | 0 | 0 | A | INACTIVE |
| ICI Fund II CRD: 328125 | - | 0 | 1 | - | Unknown |
| Icici Asset Management CRD: 312825 | - | 0 | 0 | - | Unknown |
| Icici Securities Inc. CRD: 104285 | NY | 1 | 2 | B | Active |
| Icicle Creek Investments CRD: 297238 | - | 0 | 1 | - | Unknown |
| Iclearing LLC CRD: 43200 | - | 2 | 0 | B | INACTIVE |
| Icloser Ltd. CRD: 338976 | - | 0 | 1 | - | Unknown |
| ICM Asset Management Inc CRD: 105046 | - | 0 | 0 | - | Unknown |
| ICM Capital Markets, LLC CRD: 312157 | NY | 0 | 2 | A | Active |
| ICM LLC CRD: 168433 | - | 0 | 0 | - | Unknown |
| ICM Partners, LLC CRD: 144844 | - | 0 | 0 | - | Unknown |
| ICM Securities, LLC CRD: 131988 | - | 3 | 0 | C | INACTIVE |
| ICN Holding CRD: 125761 | - | 0 | 2 | - | Unknown |
| Icom Advisors, LLC CRD: 156386 | - | 0 | 4 | - | Unknown |
| Icon Advisers, Inc. CRD: 108268 | - | 0 | 3 | - | Unknown |
| Icon Asset Management AG CRD: 309138 | - | 0 | 0 | - | Unknown |
| Icon Asset Management USA LLC CRD: 314854 | - | 0 | 0 | - | Unknown |
| Icon Capital Group, LLC CRD: 4029 | CA | 0 | 2 | A | Active |
| Icon Distributors, Inc. CRD: 28568 | - | 0 | 0 | A | INACTIVE |
| Icon Financial CRD: 287830 | - | 0 | 1 | - | Unknown |
| Icon Financial Services LLC CRD: 306816 | - | 0 | 3 | - | Unknown |
| Icon Imperial CRD: 144297 | - | 0 | 1 | - | Unknown |
| Icon Infrastructure LLP CRD: 167850 | - | 0 | 0 | - | Unknown |
| Icon Infrastructure North America Inc. CRD: 306800 | - | 0 | 1 | - | Unknown |
| Icon Management Associates II, LLC CRD: 163329 | - | 0 | 0 | - | Unknown |
| Icon Management Associates III, LLC CRD: 163330 | - | 0 | 0 | - | Unknown |
| Icon Management Associates IV, LLC CRD: 163331 | - | 0 | 1 | - | Unknown |
| Icon Management Associates V, LLC CRD: 164412 | - | 0 | 1 | - | Unknown |
| Icon Management Associates VI, LLC CRD: 286062 | - | 0 | 1 | - | Unknown |
| Icon Management Associates VII, LLC CRD: 313640 | - | 0 | 1 | - | Unknown |
| Icon Management Associates, LLC CRD: 163328 | - | 0 | 0 | - | Unknown |