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 |
|---|---|---|---|---|---|
| K. D. Clewley Capital Management CRD: 129348 | - | 0 | 1 | - | Unknown |
| K. Henry Investments Corporation CRD: 10679 | - | 0 | 0 | A | INACTIVE |
| K. J. Brown & Co., Inc. CRD: 477 | - | 0 | 0 | A | INACTIVE |
| K. Mcintyre Investments, Inc. CRD: 14827 | - | 0 | 0 | A | INACTIVE |
| K. W. Chambers & Co. CRD: 1432 | - | 3 | 0 | C | INACTIVE |
| K.A. Knapp & Co., Inc. CRD: 13338 | - | 0 | 0 | A | INACTIVE |
| K.A. Radigan, LLC CRD: 132809 | - | 0 | 0 | - | Unknown |
| K.C. Bartnett Inc CRD: 32794 | - | 0 | 0 | A | INACTIVE |
| K.C. Ward Financial CRD: 145135 | - | 4 | 0 | C | INACTIVE |
| K.J. Harrison & Partners (USA) Inc. CRD: 282353 | - | 0 | 0 | - | Unknown |
| K.K. Davinci Holdings CRD: 163852 | - | 0 | 0 | - | Unknown |
| K.L. Baird Asset Management CRD: 117135 | - | 0 | 0 | - | Unknown |
| K.M. Moore & Co., LLC CRD: 140237 | - | 0 | 0 | - | Unknown |
| K.W. Andersen Investment Group, LLC CRD: 290645 | - | 0 | 1 | - | Unknown |
| K.W. Brown Investments CRD: 16492 | - | 22 | 0 | F | INACTIVE |
| K/a/P Planning Advisory CRD: 128389 | - | 0 | 0 | - | Unknown |
| K1 Investment Management LLC CRD: 161953 | - | 0 | 1 | - | Unknown |
| K2 Advisors, L.L.C. CRD: 284891 | - | 0 | 0 | - | Unknown |
| K2 Capital ADV, LLC CRD: 318055 | - | 0 | 1 | - | Unknown |
| K2 Capital Asset Management, LLC CRD: 328298 | NY | 0 | 2 | A | Active |
| K2 Capital Management, LLC CRD: 165037 | - | 0 | 0 | - | Unknown |
| K2 Financial Inc. CRD: 300913 | - | 0 | 4 | - | Unknown |
| K2 Management Co. CRD: 324175 | - | 0 | 0 | - | Unknown |
| K2 Venture Management Limited CRD: 324174 | - | 0 | 0 | - | Unknown |
| K2 Wealth Management CRD: 331906 | - | 0 | 1 | - | Unknown |
| K2 Wealth Management LLC CRD: 332264 | - | 0 | 1 | - | Unknown |
| K2/D&S Management Co., L.L.C. CRD: 123826 | - | 0 | 1 | - | Unknown |
| K3 Fund Management Company LLC CRD: 315779 | - | 0 | 1 | - | Unknown |
| K3E Capital Management, LLC CRD: 313548 | - | 0 | 0 | - | Unknown |
| K5 Global Advisor LLC CRD: 314373 | - | 0 | 1 | - | Unknown |
| K5 Global Technology, LLC CRD: 301937 | - | 0 | 0 | - | Unknown |
| K50 Ventures CRD: 326197 | - | 0 | 1 | - | Unknown |
| K7 Capital Advisors LLC CRD: 333899 | - | 0 | 1 | - | Unknown |
| K8 Management, LLC CRD: 327369 | - | 0 | 1 | - | Unknown |
| K9 Ventures, LLC CRD: 165537 | - | 0 | 1 | - | Unknown |
| KA Associates, LLC CRD: 32029 | CA | 1 | 3 | B | Active |
| KA Credit Advisors II, LLC CRD: 311657 | - | 0 | 1 | - | Unknown |
| KA Credit Advisors, LLC CRD: 306753 | - | 0 | 1 | - | Unknown |
| KA Credit Advisors, LLC. CRD: 292991 | - | 0 | 0 | - | Unknown |
| KA Fund Advisors, LLC CRD: 141037 | - | 0 | 1 | - | Unknown |
| Kabarec Financial Advisors Ltd CRD: 105689 | - | 0 | 0 | - | Unknown |
| Kabat Advisory Group, LLC CRD: 171966 | - | 0 | 3 | - | Unknown |
| Kabotra Investment Advisory LLC CRD: 307211 | - | 0 | 1 | - | Unknown |
| Kabouter Management, LLC CRD: 153099 | - | 0 | 1 | - | Unknown |
| Kabr Management, LLC CRD: 175409 | - | 0 | 1 | - | Unknown |
| Kabrik Trading LLC CRD: 104460 | - | 1 | 0 | B | INACTIVE |
| Kacal, William Jennings CRD: 317714 | - | 0 | 0 | - | Unknown |
| Kacela Capital, LLC CRD: 157301 | - | 0 | 0 | - | Unknown |
| Kachkovsky & Fisher, Inc. CRD: 117811 | - | 0 | 8 | - | Unknown |
| Kademian Financial Group Inc CRD: 109459 | - | 0 | 2 | - | Unknown |