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.

All States
Firm Name ↕ State Disclosures ↕ Offices ↕ Grade Status
American Beacon Partners, Inc.
CRD: 15791
 - 8 0 D INACTIVE
American Benefits & Compensation Securities Corp
CRD: 35263
 - 0 0 A INACTIVE
American Blue Chip Investment Management
CRD: 108798
 - 0 0 - Unknown
American Board of Trade-NEW Hampshire, Inc.
CRD: 14267
 - 0 0 A INACTIVE
American Bond Group, Inc.
CRD: 18318
 - 0 0 A INACTIVE
American Business Capital
CRD: 123754
 - 0 1 - Unknown
American Business Securities, Inc.
CRD: 18284
 - 0 0 A INACTIVE
American Capital Acsf Management, LLC
CRD: 169128
 - 0 0 - Unknown
American Capital Advisory, LLC
CRD: 141944
 - 0 3 - Unknown
American Capital Asset Management, LLC
CRD: 160780
 - 0 0 - Unknown
American Capital Contractual Services, Inc.
CRD: 148
 - 0 0 A INACTIVE
American Capital Corporation
CRD: 16124
 - 0 0 A INACTIVE
American Capital Equities, Inc.
CRD: 13272
 - 0 0 A INACTIVE
American Capital Management, Inc.
CRD: 122452
 - 0 8 - Unknown
American Capital Marketing, Inc.
CRD: 6699
 - 0 0 A INACTIVE
American Century Brokerage, Inc.
CRD: 42846
 - 1 0 B INACTIVE
American Century Investment Management Inc
CRD: 105778
 - 0 1 - Unknown
American Century Investment Services Inc.
CRD: 17437
 MO 3 14 B Active
American Classic Financial Company
CRD: 24099
 - 12 0 D INACTIVE
American Classic Securities, Inc.
CRD: 25399
 - 1 0 B INACTIVE
American Colonial Corporation
CRD: 103906
 - 0 0 A INACTIVE
American Commercial Securities Corporation
CRD: 10275
 - 0 0 A INACTIVE
American Consolidated Securities Corp.
CRD: 338
 - 0 0 A INACTIVE
American Discount Brokers, Inc.
CRD: 14449
 - 0 0 A INACTIVE
American Discount Securities, Inc.
CRD: 20455
 - 0 0 A INACTIVE
American Discovery Advisors, LLC
CRD: 287488
 CA 0 2 A Active
American Discovery Investment Advisors, LLC
CRD: 301331
 - 0 1 - Unknown
American Diversified Distributors Corp.
CRD: 10245
 - 0 0 A INACTIVE
American Diversified Equity Corporation
CRD: 13454
 - 0 0 A INACTIVE
American Diversified Global Equities, Inc.
CRD: 42792
 - 0 0 A INACTIVE
American Dream
CRD: 282816
 - 0 2 - Unknown
American Eagle Investments, Inc.
CRD: 36025
 - 0 0 A INACTIVE
American Eagle Securities, Inc.
CRD: 12973
 - 0 0 A INACTIVE
American Eagle Securities, Inc.
CRD: 133721
 - 0 0 A INACTIVE
American Eagle Wealth Advisors Inc.
CRD: 144864
 - 0 0 - Unknown
American Eastern Securities, Inc.
CRD: 25621
 - 2 0 B INACTIVE
American Elite Advisory
CRD: 212513
 - 0 7 - Unknown
American ELM Distribution Partners, LLC
CRD: 153322
 NH 0 3 A Active
American Enterprise Investment Services Inc.
CRD: 26506
 MN 10 11 C Active
American Equities Group, Inc.
CRD: 35179
 - 1 0 B INACTIVE
American Equity Capital, Inc.
CRD: 45288
 - 0 0 A INACTIVE
American Equity Corporation
CRD: 15443
 - 0 0 A INACTIVE
American Equity Investment Corporation
CRD: 40199
 - 0 0 A INACTIVE
American Equity Securities
CRD: 7511
 - 0 0 A INACTIVE
American European Asset Management LLC
CRD: 149185
 - 0 1 - Unknown
American Executive Advisors, LLC
CRD: 306477
 - 0 1 - Unknown
American Executive Group, Inc.
CRD: 15242
 - 0 0 A INACTIVE
American Expats in Europe Ltd.
CRD: 319225
 - 0 0 - Unknown
American Exploration Securities Corporation
CRD: 8464
 - 0 0 A INACTIVE
American Express Financial Advisors Japan, Inc.
CRD: 11176
 - 0 0 A INACTIVE
Page 72 of 1601 (80,028 total)
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