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 |
|---|---|---|---|---|---|
| Kairos Investment Management Limited CRD: 288822 | - | 0 | 0 | - | Unknown |
| Kairos Investment Management Limited CRD: 315049 | - | 0 | 0 | - | Unknown |
| Kairos LLC CRD: 122306 | - | 0 | 2 | - | Unknown |
| Kairos Managers, LLC CRD: 291857 | - | 0 | 1 | - | Unknown |
| Kairos Partners SGR SPA CRD: 306755 | - | 0 | 0 | - | Unknown |
| Kairos Private Wealth, Inc. CRD: 311653 | - | 0 | 0 | - | Unknown |
| Kairos RIA, LLC CRD: 341881 | - | 0 | 1 | - | Unknown |
| Kairos Venture Investments, LLC CRD: 281869 | - | 0 | 1 | - | Unknown |
| Kaiser and Company CRD: 7050 | - | 0 | 0 | A | INACTIVE |
| Kaiser and Company CRD: 14186 | - | 3 | 0 | C | INACTIVE |
| Kaiser Capital Management CRD: 124508 | - | 0 | 0 | - | Unknown |
| Kaiser Partner Financial Advisors Ltd. CRD: 149431 | - | 0 | 0 | - | Unknown |
| Kaiser Wealth Management CRD: 111000 | - | 0 | 1 | - | Unknown |
| Kaiser, Donald Richard CRD: 34470 | - | 0 | 0 | A | INACTIVE |
| Kaitz Investments Inc. CRD: 157459 | - | 0 | 1 | - | Unknown |
| Kaiyo Wealth LLC CRD: 316431 | - | 0 | 1 | - | Unknown |
| Kaizan Capital Corp. CRD: 130681 | - | 0 | 0 | A | INACTIVE |
| Kaizen Advisory, LLC CRD: 171520 | - | 0 | 0 | - | Unknown |
| Kaizen Capital Partners Limited CRD: 308168 | - | 0 | 0 | - | Unknown |
| Kaizen Financial Advisors, LLC CRD: 155353 | - | 0 | 2 | - | Unknown |
| Kaizen Financial Strategies, LLC CRD: 298248 | - | 0 | 5 | - | Unknown |
| Kaizen Investment Management PTE. Ltd CRD: 329370 | - | 0 | 0 | - | Unknown |
| Kaizen Management, LP CRD: 124699 | - | 0 | 0 | - | Unknown |
| Kaizen Retirement Plan Advisors, LLC CRD: 289238 | - | 0 | 1 | - | Unknown |
| Kaizen Wealth Advisors, LLC CRD: 143525 | - | 0 | 1 | - | Unknown |
| Kaizen Wealth Management, LLC CRD: 131466 | - | 0 | 2 | - | Unknown |
| Kaizen Wealth Management, LLC CRD: 285678 | - | 0 | 1 | - | Unknown |
| Kaizerman & Associates, LLC CRD: 128579 | - | 0 | 1 | - | Unknown |
| KAJ Financial Corp. CRD: 17078 | - | 0 | 0 | A | INACTIVE |
| Kajj Management, LLC CRD: 307988 | - | 0 | 0 | - | Unknown |
| Kakiat Capital LLC CRD: 310734 | - | 0 | 0 | - | Unknown |
| Kakis Financial Services Inc. CRD: 142741 | - | 0 | 1 | - | Unknown |
| KAL Capital Markets LLC CRD: 291333 | CA | 0 | 2 | A | Active |
| KAL Investments LLC CRD: 174855 | - | 0 | 0 | - | Unknown |
| Kala Capital CRD: 312316 | - | 0 | 1 | - | Unknown |
| Kalaari Capital Advisors PVT Ltd CRD: 162999 | - | 0 | 0 | - | Unknown |
| Kalaj Capital CRD: 329379 | - | 0 | 1 | - | Unknown |
| Kalamata Asset Management LLC CRD: 284328 | - | 0 | 2 | - | Unknown |
| Kalantry Advisors LLC CRD: 310785 | - | 0 | 1 | - | Unknown |
| Kalas, Mark Edward CRD: 34125 | - | 0 | 0 | A | INACTIVE |
| Kalb, Voorhis & Co., LLC CRD: 479 | - | 0 | 0 | A | INACTIVE |
| Kale ERA Adviser CRD: 297160 | - | 0 | 1 | - | Unknown |
| Kaleel Investment Advisors, LLC CRD: 131216 | - | 0 | 0 | - | Unknown |
| Kalehua Capital Management LLC CRD: 325290 | - | 0 | 1 | - | Unknown |
| Kaleido Capital Partners Limited CRD: 342284 | - | 0 | 0 | - | Unknown |
| Kaleidos Management LLC CRD: 322188 | - | 0 | 0 | - | Unknown |
| Kaleidos Management LLC CRD: 330034 | - | 0 | 1 | - | Unknown |
| Kaleidoscope Capital CRD: 282159 | - | 0 | 1 | - | Unknown |
| Kalenjin Advisory Ltd. CRD: 158244 | - | 0 | 0 | - | Unknown |
| Kaleo Ventures CRD: 335165 | - | 0 | 1 | - | Unknown |