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 |
|---|---|---|---|---|---|
| JWD Financial, LLC CRD: 281356 | - | 0 | 0 | - | Unknown |
| JWE Securities, Inc. CRD: 37368 | - | 0 | 0 | A | INACTIVE |
| Jwest 6, LLC CRD: 328328 | - | 0 | 2 | - | Unknown |
| JWG Wealth Management, LLC CRD: 175480 | - | 0 | 0 | - | Unknown |
| Jwgenesis Financial Group, Inc CRD: 38166 | - | 2 | 0 | B | INACTIVE |
| Jwgenesis Securities, Inc. CRD: 33832 | - | 16 | 0 | D | INACTIVE |
| JWH Securities, Inc. CRD: 45295 | - | 0 | 0 | A | INACTIVE |
| JWK Capital, LLC CRD: 155283 | - | 0 | 0 | - | Unknown |
| JWK Financial CRD: 318355 | - | 0 | 1 | - | Unknown |
| JWK Financial Group CRD: 170176 | - | 0 | 0 | - | Unknown |
| Jwkodak Capital Management, LLC CRD: 144081 | - | 0 | 0 | - | Unknown |
| JWL & Associates, Inc. CRD: 314576 | - | 0 | 1 | - | Unknown |
| JWL Trading Company, LLC CRD: 44862 | - | 0 | 0 | A | INACTIVE |
| JWM Securities LLC CRD: 137229 | - | 0 | 0 | A | INACTIVE |
| JWR Investment Group, Inc. CRD: 13359 | - | 0 | 0 | A | INACTIVE |
| JWS Capital Advisors, LLC CRD: 301248 | - | 0 | 1 | - | Unknown |
| JWS Capital Management CRD: 287524 | - | 0 | 0 | - | Unknown |
| JWTT Inc. CRD: 299410 | OR | 0 | 4 | A | Active |
| JY Capital Management CRD: 327887 | - | 0 | 1 | - | Unknown |
| JYE Wealth Advisors, LLC CRD: 327786 | - | 0 | 2 | - | Unknown |
| JYH, LLC CRD: 287791 | - | 0 | 0 | - | Unknown |
| JZ Partners CRD: 160932 | - | 0 | 1 | - | Unknown |
| JZJ Capital Management, LLC CRD: 290274 | - | 0 | 0 | - | Unknown |
| K & D Securities Inc. CRD: 10909 | - | 0 | 0 | A | INACTIVE |
| K & G Financial, Inc. CRD: 17571 | - | 0 | 0 | A | INACTIVE |
| K & M Associates, LLC CRD: 126211 | - | 0 | 0 | - | Unknown |
| K & S Global, L.L.C. CRD: 42648 | - | 0 | 0 | A | INACTIVE |
| K & Y Securities Corporation CRD: 28706 | - | 1 | 0 | B | INACTIVE |
| K Capital LLC CRD: 147191 | NY | 0 | 3 | A | Active |
| K Curtis Financial Group, LLC CRD: 169938 | - | 0 | 0 | - | Unknown |
| K Financial Services, LLC CRD: 287772 | - | 0 | 1 | - | Unknown |
| K Fund Capital Management, LLC CRD: 318110 | - | 0 | 1 | - | Unknown |
| K G Equity Resources, Inc. CRD: 10018 | - | 0 | 0 | A | INACTIVE |
| K Michael & Company CRD: 17881 | - | 0 | 0 | A | INACTIVE |
| K P Smith Asset Management CRD: 106428 | - | 0 | 0 | - | Unknown |
| K Plus, Inc. CRD: 163890 | - | 0 | 0 | - | Unknown |
| K Property Manager, LLC CRD: 292563 | - | 0 | 1 | - | Unknown |
| K R Financial LLC CRD: 111282 | - | 0 | 1 | - | Unknown |
| K Securities Inc. CRD: 6599 | - | 0 | 0 | A | INACTIVE |
| K Street Capital Fund Management Company, LLC CRD: 325428 | - | 0 | 1 | - | Unknown |
| K Street Capital Partners CRD: 299676 | - | 0 | 0 | - | Unknown |
| K Wealth Advisors CRD: 307978 | - | 0 | 1 | - | Unknown |
| K&H Wealth Partners CRD: 329828 | - | 0 | 1 | - | Unknown |
| K&S Inc. CRD: 33098 | - | 0 | 0 | A | INACTIVE |
| K&S Trading LP CRD: 129844 | - | 0 | 0 | A | INACTIVE |
| K&S Wealth Advisors, LLC CRD: 294310 | - | 0 | 1 | - | Unknown |
| K-12 Planning CRD: 330823 | - | 0 | 1 | - | Unknown |
| K-Discount Investors Services CRD: 13481 | - | 0 | 0 | A | INACTIVE |
| K-Mack Financial, LLC CRD: 166818 | - | 0 | 0 | - | Unknown |
| K-ONE Investment Company, Inc. CRD: 16156 | - | 1 | 0 | B | INACTIVE |