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 Transnational Advisors LLC
CRD: 319217
 - 0 0 - Unknown
American Triangle Securities, Inc.
CRD: 10321
 - 0 0 A INACTIVE
American Triple I, LLC
CRD: 318463
 - 0 1 - Unknown
American Trust Investment Advisors, LLC
CRD: 114439
 - 0 2 - Unknown
American Trust Investment Services Advisory, Inc.
CRD: 299547
 - 0 7 - Unknown
American Trust Investment Services, Inc.
CRD: 3001
 CA 6 9 B Active
American Trust Securities Corporation
CRD: 17467
 - 0 0 A INACTIVE
American Trust Securities Corporation
CRD: 26014
 - 0 0 A INACTIVE
American Union Securities, Inc.
CRD: 131305
 - 0 0 A INACTIVE
American United Life Insurance Company
CRD: 1075
 - 1 0 B INACTIVE
American Value Capital
CRD: 174345
 - 0 0 - Unknown
American Values Investments, Inc.
CRD: 117116
 - 0 2 - Unknown
American Venture Securities, Inc.
CRD: 3256
 - 0 0 A INACTIVE
American Ventures IM LLC
CRD: 337677
 - 0 0 - Unknown
American Veterans Group, PBC
CRD: 291933
 NY 0 3 A Active
American Vision Advisors LLC
CRD: 290457
 - 0 1 - Unknown
American Wealth Administration Group LLC
CRD: 282683
 - 0 2 - Unknown
American Wealth Advisors, LLC
CRD: 145791
 - 0 3 - Unknown
American Wealth Management
CRD: 122205
 - 0 4 - Unknown
American West Investment Company
CRD: 13670
 - 0 0 A INACTIVE
Americana Capital Incorporated
CRD: 15662
 - 0 0 A INACTIVE
Americana Partners, LLC
CRD: 301354
 - 0 31 - Unknown
Americap Financial, Inc.
CRD: 19626
 - 0 0 A INACTIVE
Americap LLP
CRD: 121117
 - 0 0 - Unknown
Americasa Asset Management
CRD: 322914
 - 0 0 - Unknown
AMERICASRETIREMENTPLAN.COM
CRD: 285244
 - 0 0 - Unknown
Americorp Capital Advisory LLC
CRD: 313989
 - 0 0 - Unknown
Americorp Securities, Inc.
CRD: 14986
 - 0 0 A INACTIVE
Americorp Securities, Inc.
CRD: 30405
 - 0 0 A INACTIVE
Americus Investment Corp.
CRD: 38636
 - 1 0 B INACTIVE
Amerifinancial
CRD: 130623
 - 9 0 D INACTIVE
Amerifirst Capital Corp.
CRD: 124431
 - 0 0 A INACTIVE
Amerifirst Securities Corporation
CRD: 10711
 - 0 0 A INACTIVE
Ameriflex Group Securities, Inc.
CRD: 325387
 NV 0 1 A Active
Amerigo Asset Management Corporation
CRD: 153607
 - 0 3 - Unknown
Amerilife Financial Advisors LLC
CRD: 286206
 - 0 0 - Unknown
Amerimutual Corporation
CRD: 15573
 - 0 0 A INACTIVE
Amerimutual Funds Distributor, Inc.
CRD: 47661
 - 0 0 A INACTIVE
Amerinational Financial Services, Inc.
CRD: 27986
 - 0 0 A INACTIVE
Ameriplanning and Investments LLC
CRD: 284587
 - 0 0 - Unknown
Ameriprise Advisor Services, Inc.
CRD: 5979
 - 223 0 F INACTIVE
Ameriprise Financial Services, LLC
CRD: 6363
 MN 184 15,626 B Active
Ameriprop, Inc.
CRD: 24305
 - 4 0 C INACTIVE
Amerisecurities Capital Corp.
CRD: 22111
 - 0 0 A INACTIVE
Ameriserv Wealth Advisors Inc
CRD: 105846
 - 0 3 - Unknown
Ameritas Advisory Services, LLC
CRD: 317245
 - 0 700 - Unknown
Ameritas Investment Partners, Inc.
CRD: 109381
 - 0 12 - Unknown
Ameritech Advisors
CRD: 151597
 - 0 0 A INACTIVE
Ameritime, LLC
CRD: 147416
 - 0 11 - Unknown
Ameritrade Institutional Services, Inc.
CRD: 22578
 - 1 0 B INACTIVE
Page 75 of 1601 (80,028 total)
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