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 |
|---|---|---|---|---|---|
| Kaname Capital, L.P. CRD: 300565 | - | 0 | 1 | - | Unknown |
| Kanan Advisors CRD: 337890 | - | 0 | 1 | - | Unknown |
| Kanan Securities, Inc. CRD: 13698 | - | 0 | 0 | A | INACTIVE |
| Kanani Advisory Group Inc. CRD: 288314 | - | 0 | 1 | - | Unknown |
| Kanasa Financial Group, LLC CRD: 136120 | - | 0 | 0 | - | Unknown |
| Kanawha Capital Management, LLC CRD: 118458 | - | 0 | 1 | - | Unknown |
| Kanbrick LLC CRD: 309288 | - | 0 | 1 | - | Unknown |
| Kandiyohi Management, LLC CRD: 169214 | - | 0 | 0 | - | Unknown |
| Kane & Company, Inc. CRD: 26796 | - | 0 | 0 | A | INACTIVE |
| Kane Asset Management, LLC CRD: 339926 | - | 0 | 2 | - | Unknown |
| Kane Capital Management, LLC CRD: 134201 | - | 0 | 0 | - | Unknown |
| Kane Company Wealth Management, Inc. CRD: 115756 | - | 0 | 2 | - | Unknown |
| Kane Financial CRD: 291231 | - | 0 | 2 | - | Unknown |
| Kane Financial Planning CRD: 283245 | - | 0 | 1 | - | Unknown |
| Kane Investment Management, Inc. CRD: 127337 | - | 0 | 4 | - | Unknown |
| Kane Securities, Inc. CRD: 8513 | - | 0 | 0 | A | INACTIVE |
| Kane Street Capital Management LLC CRD: 163817 | - | 0 | 0 | - | Unknown |
| Kane, Mckenna Capital, Inc. CRD: 24908 | - | 3 | 0 | C | INACTIVE |
| Kanen Wealth Management LLC CRD: 282746 | - | 0 | 3 | - | Unknown |
| Kaner Financial CRD: 134322 | - | 0 | 0 | - | Unknown |
| Kanga2 Capital LLC CRD: 144005 | - | 0 | 0 | A | INACTIVE |
| Kangpan & Co. CRD: 337585 | - | 0 | 1 | - | Unknown |
| Kanha Capital LP CRD: 282638 | - | 0 | 0 | - | Unknown |
| Kankaku Securities (America) Inc. CRD: 7384 | - | 0 | 0 | A | INACTIVE |
| Kann, Peter Eugene CRD: 119054 | - | 0 | 0 | A | INACTIVE |
| Kanne, Paris & Hoban, Inc. CRD: 6675 | - | 0 | 0 | A | INACTIVE |
| Kanner Capital CRD: 323168 | - | 0 | 0 | - | Unknown |
| Kanner Financial Services LLC CRD: 144954 | - | 0 | 0 | - | Unknown |
| Kanno Capital CRD: 308060 | - | 0 | 1 | - | Unknown |
| Kanon Bloch Carre CRD: 145988 | - | 0 | 0 | - | Unknown |
| Kanon Bloch Carre & Co., Inc. CRD: 19023 | - | 0 | 0 | A | INACTIVE |
| Kanon Bloch Carre' Investments, Inc. CRD: 19211 | - | 0 | 0 | A | INACTIVE |
| Kanos Capital Management, LLC CRD: 128395 | - | 0 | 1 | - | Unknown |
| Kansas City Brokerage Service Incorporated CRD: 15739 | - | 0 | 0 | A | INACTIVE |
| Kansas City Brokerage. Inc CRD: 32383 | - | 1 | 0 | B | INACTIVE |
| Kansas City Private Wealth Management, LLC CRD: 172528 | - | 0 | 1 | - | Unknown |
| Kanso Capital CRD: 317708 | - | 0 | 1 | - | Unknown |
| Kantame Capital Partners CRD: 343068 | - | 0 | 1 | - | Unknown |
| Kanten Financial Services CRD: 171718 | - | 0 | 1 | - | Unknown |
| Kantor, William Alan CRD: 32185 | - | 0 | 0 | A | INACTIVE |
| Kanu Asset Management, LLC CRD: 168070 | - | 0 | 1 | - | Unknown |
| Kape Trading, Inc. CRD: 104185 | - | 0 | 0 | A | INACTIVE |
| Kapela CRD: 309601 | - | 0 | 2 | - | Unknown |
| Kapital Securities, LLC CRD: 156655 | - | 1 | 0 | B | INACTIVE |
| Kapitall Generation, LLC CRD: 153157 | FL | 1 | 1 | B | Active |
| Kaplan Financial Advisors LLC CRD: 131237 | - | 0 | 0 | - | Unknown |
| Kaplan Unlimited Inc. CRD: 297430 | - | 0 | 0 | - | Unknown |
| Kaplan Wealth Management, Inc. CRD: 167880 | - | 0 | 2 | - | Unknown |
| Kaplan, Barry IRA CRD: 32692 | - | 1 | 0 | B | INACTIVE |
| Kapok Capital LLC CRD: 159698 | - | 0 | 1 | - | Unknown |