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 |
|---|---|---|---|---|---|
| Jane C. Kelley CRD: 135618 | - | 0 | 1 | - | Unknown |
| Jane Financial, LLC CRD: 288419 | - | 0 | 1 | - | Unknown |
| Jane Street Capital, LLC CRD: 103782 | NY | 2 | 2 | D | Active |
| Jane Street Execution Services, LLC CRD: 167280 | NY | 0 | 2 | A | Active |
| Jane Street Markets, LLC CRD: 104485 | - | 2 | 0 | B | INACTIVE |
| Jane Street Options, LLC CRD: 134159 | NY | 2 | 2 | C | Active |
| Jane Street Specialists, LLC CRD: 118232 | - | 3 | 0 | C | INACTIVE |
| Jane Street Trading, LLC CRD: 103790 | - | 0 | 0 | A | INACTIVE |
| Janet Christine Wygle - Financial Advisor CRD: 136623 | - | 0 | 1 | - | Unknown |
| Janian Investment Advisers, LLC CRD: 164807 | - | 0 | 1 | - | Unknown |
| Janice Penar CPA/PFS CFP, P.S. CRD: 116318 | - | 0 | 0 | - | Unknown |
| Janiczek Wealth Management CRD: 107156 | - | 0 | 0 | - | Unknown |
| Janis Financial, LLC CRD: 144352 | - | 0 | 1 | - | Unknown |
| Janjua Investment, Inc. CRD: 28964 | - | 0 | 0 | A | INACTIVE |
| Janlyn Capital CRD: 167228 | - | 0 | 0 | - | Unknown |
| Janney Capital Management LLC CRD: 159506 | - | 0 | 0 | - | Unknown |
| Janney Montgomery Scott LLC CRD: 463 | PA | 120 | 211 | C | Active |
| Jans Capital Management CRD: 284327 | - | 0 | 0 | - | Unknown |
| Jansen Financial CRD: 149811 | - | 0 | 0 | - | Unknown |
| Jansen Wealth Management LLC CRD: 317824 | - | 0 | 1 | - | Unknown |
| Janssen Partners, Inc. CRD: 43940 | IA | 1 | 2 | B | Active |
| Jansson Financial SVCS CRD: 127786 | - | 0 | 2 | - | Unknown |
| Jantorno Financial Advisors, LLC CRD: 131409 | - | 0 | 2 | - | Unknown |
| Jantz Management LLC CRD: 127177 | - | 0 | 0 | - | Unknown |
| January Capital Advisors LLC CRD: 177514 | - | 0 | 1 | - | Unknown |
| January Ventures GP, LLC CRD: 317546 | - | 0 | 1 | - | Unknown |
| Janus Capital Singapore PTE. Limited CRD: 156324 | - | 0 | 0 | - | Unknown |
| Janus Financial CRD: 323940 | - | 0 | 1 | - | Unknown |
| Janus Financial Planning, LLC CRD: 322978 | - | 0 | 1 | - | Unknown |
| Janus Henderson Distributors US LLC CRD: 28832 | CO | 0 | 4 | A | Active |
| Janus Henderson Investors CRD: 107300 | - | 0 | 0 | - | Unknown |
| Janus Henderson Investors CRD: 104652 | - | 0 | 3 | - | Unknown |
| Janus Henderson Investors Middle East Limited CRD: 334843 | - | 0 | 0 | - | Unknown |
| Janus Henderson Investors UK Limited CRD: 336704 | - | 0 | 0 | - | Unknown |
| Janus Securities Corporation CRD: 17494 | - | 0 | 0 | A | INACTIVE |
| Japan Growth Investments Alliance, Inc. CRD: 331209 | - | 0 | 0 | - | Unknown |
| Japan Industrial Partners, Inc. CRD: 163554 | - | 0 | 0 | - | Unknown |
| Japan Universal Securities (U.S.A.) Inc. CRD: 25446 | - | 0 | 0 | A | INACTIVE |
| Jaques Financial Corp. CRD: 23773 | - | 0 | 0 | A | INACTIVE |
| JAR Advisor CRD: 312656 | - | 0 | 2 | - | Unknown |
| Jaras Financial Services, Inc. CRD: 282126 | - | 0 | 1 | - | Unknown |
| Jarbidge Trading, LLC CRD: 146657 | - | 0 | 0 | - | Unknown |
| Jardine Financial Group CRD: 175449 | - | 0 | 1 | - | Unknown |
| Jardine Lloyd Thompson Capital Markets Inc CRD: 146485 | - | 0 | 0 | A | INACTIVE |
| Jared Haines Financial Advice, LLC CRD: 310959 | - | 0 | 0 | - | Unknown |
| Jaris Asset Management CRD: 324194 | - | 0 | 1 | - | Unknown |
| Jarislowsky Fraser Ltd CRD: 107390 | - | 0 | 0 | - | Unknown |
| Jariwala Financial Wellness, LLC CRD: 338561 | - | 0 | 2 | - | Unknown |
| Jarombek Capital LLC CRD: 337952 | - | 0 | 2 | - | Unknown |
| Jaron Equities Corp. CRD: 5764 | - | 0 | 0 | A | INACTIVE |