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 |
|---|---|---|---|---|---|
| Kapor Capital Management Company L.L.C. CRD: 317692 | - | 0 | 1 | - | Unknown |
| Kapp Robinson Resources, Inc. CRD: 29830 | - | 0 | 0 | A | INACTIVE |
| Kaprealian Investment Group CRD: 167643 | - | 0 | 0 | - | Unknown |
| Kapstone Financial Advisors LLC CRD: 307928 | - | 0 | 0 | - | Unknown |
| Kapstone Financial Advisors LLC CRD: 318885 | - | 0 | 1 | - | Unknown |
| Kapusta Financial Group CRD: 123349 | - | 0 | 2 | - | Unknown |
| Kapuy Management LLC CRD: 322636 | - | 0 | 0 | - | Unknown |
| Karafilis Investments Corporation CRD: 134622 | - | 0 | 2 | - | Unknown |
| Karagosian Financial Services, Inc CRD: 124532 | - | 0 | 1 | - | Unknown |
| Karakoram Partners, LLC CRD: 163512 | - | 0 | 0 | - | Unknown |
| Karamaan Group LLC CRD: 297036 | - | 0 | 0 | - | Unknown |
| Karana Capital Management LLC CRD: 336686 | - | 0 | 0 | - | Unknown |
| Karani Asset Management LLC CRD: 297922 | - | 0 | 1 | - | Unknown |
| Karbone Capital Markets, LLC CRD: 150704 | - | 1 | 0 | B | INACTIVE |
| Kardia Midwest Family Wealth Counseling, LLC CRD: 164764 | - | 0 | 0 | - | Unknown |
| Kardinal Financial CRD: 316730 | - | 0 | 1 | - | Unknown |
| Karel Capital, Inc. CRD: 105607 | - | 0 | 2 | - | Unknown |
| Karen Howe-Misko & Company Incorporated CRD: 31850 | - | 1 | 0 | B | INACTIVE |
| Karilian Capital Management CRD: 173727 | - | 0 | 0 | - | Unknown |
| Karimzadeh, Mathieu, Massoud CRD: 283981 | - | 0 | 0 | - | Unknown |
| Karis Crypto Ventures LLC CRD: 331975 | - | 0 | 1 | - | Unknown |
| Karl Kapital CRD: 333558 | - | 0 | 1 | - | Unknown |
| Karl Schorr Wealth Management, LLC CRD: 166433 | - | 0 | 2 | - | Unknown |
| Karl Wilhelm Blovet D/B/a Karl W. Blovet & Associa… CRD: 126809 | - | 0 | 0 | - | Unknown |
| Karlov Street Capital, LLC CRD: 288910 | - | 0 | 1 | - | Unknown |
| Karly Schelly & Company CRD: 34100 | - | 1 | 0 | B | INACTIVE |
| Karma Advisors CRD: 154357 | - | 0 | 0 | - | Unknown |
| Karma Capital Advisors PVT Ltd. CRD: 335212 | - | 0 | 0 | - | Unknown |
| Karma Capital Management, L.L.C. CRD: 129202 | - | 0 | 0 | - | Unknown |
| Karma Management, LLC CRD: 312561 | - | 0 | 0 | - | Unknown |
| Karman Ventures, LLC CRD: 322083 | - | 0 | 1 | - | Unknown |
| Karmel Capital LLC CRD: 285796 | - | 0 | 0 | - | Unknown |
| Karmel Capital Management LLC CRD: 307701 | - | 0 | 1 | - | Unknown |
| Karmeq, LLC CRD: 300796 | CA | 0 | 2 | A | Active |
| Karn, Couzens & Associates, Inc. CRD: 115582 | - | 0 | 0 | - | Unknown |
| Karner Blue Capital, LLC CRD: 290714 | - | 0 | 0 | - | Unknown |
| Karp & Associates CRD: 141477 | - | 0 | 1 | - | Unknown |
| Karp Capital Management Corporation CRD: 131834 | - | 0 | 0 | - | Unknown |
| Karp Financial Advisors Inc CRD: 115268 | - | 0 | 0 | - | Unknown |
| Karpas Strategies LLC CRD: 108139 | - | 0 | 0 | - | Unknown |
| Karpinski Financial, LLC CRD: 153085 | - | 0 | 1 | - | Unknown |
| Karpreilly, LLC CRD: 161169 | - | 0 | 1 | - | Unknown |
| Karpus Investment Management CRD: 110275 | - | 0 | 1 | - | Unknown |
| Karr Barth Financial Planning, Inc. CRD: 121043 | - | 0 | 0 | - | Unknown |
| Karr Investment Company, Incorporated CRD: 13867 | - | 0 | 0 | A | INACTIVE |
| Karsen, Craig CRD: 32423 | - | 0 | 0 | A | INACTIVE |
| Karsh Financial Services, LLC CRD: 292292 | - | 0 | 0 | - | Unknown |
| Karst Peak Capital Limited CRD: 164228 | - | 0 | 0 | - | Unknown |
| Karsten Advisors CRD: 158571 | - | 0 | 0 | - | Unknown |
| Karstens Investment Counsel, Inc. CRD: 117977 | - | 0 | 0 | - | Unknown |