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 |
|---|---|---|---|---|---|
| Karstens Wealth CRD: 321646 | - | 0 | 1 | - | Unknown |
| Kartesia Management CRD: 289175 | - | 0 | 0 | - | Unknown |
| Karvy, Inc. CRD: 134512 | - | 0 | 0 | A | INACTIVE |
| Karya Capital Management LP CRD: 160413 | - | 0 | 1 | - | Unknown |
| Kasaa Financial Services LLC CRD: 310463 | - | 0 | 0 | - | Unknown |
| Kasanda Capital CRD: 334491 | - | 0 | 2 | - | Unknown |
| Kasanow & Associates: Life Planning & Wealth Manag… CRD: 109852 | - | 0 | 0 | - | Unknown |
| Kase Capital Management CRD: 131572 | - | 0 | 0 | - | Unknown |
| Kashner Davidson Securities Corporation CRD: 5319 | - | 23 | 0 | F | INACTIVE |
| Kasmat Risk Management, LLC. CRD: 152390 | - | 0 | 1 | - | Unknown |
| Kasper, Alexander L. CRD: 123114 | - | 0 | 0 | - | Unknown |
| Kaspian Wealth Management CRD: 162028 | - | 0 | 1 | - | Unknown |
| Kassira Wealth Management, LLC CRD: 165070 | - | 0 | 3 | - | Unknown |
| Kassouf Wealth Advisors, LLC CRD: 122683 | - | 0 | 4 | - | Unknown |
| Kastel Capital Advisors, LLC CRD: 226520 | - | 0 | 2 | - | Unknown |
| Kastle Capital, LLC CRD: 171888 | - | 0 | 0 | - | Unknown |
| Kastle Wealth CRD: 285421 | - | 0 | 0 | - | Unknown |
| Kastler Financial Planning CRD: 330030 | - | 0 | 2 | - | Unknown |
| Kastler Financial Planning CRD: 304701 | - | 0 | 0 | - | Unknown |
| Kaszek Management S.A. CRD: 162456 | - | 0 | 0 | - | Unknown |
| Katalgar Capital Management, LLC CRD: 146525 | - | 0 | 1 | - | Unknown |
| Katalyst Securities LLC CRD: 112494 | - | 5 | 0 | C | INACTIVE |
| KATALYST.VENTURES CRD: 294643 | - | 0 | 1 | - | Unknown |
| Katam Hill LLC CRD: 306521 | - | 0 | 1 | - | Unknown |
| Katama GP LLC CRD: 165128 | - | 0 | 0 | - | Unknown |
| Katama Securities LLC CRD: 124667 | GA | 0 | 3 | A | Active |
| Katama Trading L.L.C CRD: 42437 | - | 0 | 0 | A | INACTIVE |
| Katana Capital LLC CRD: 144882 | - | 0 | 0 | - | Unknown |
| Katapult Financial Planning LLC CRD: 322757 | - | 0 | 1 | - | Unknown |
| Kate Capital Group CRD: 334283 | - | 0 | 1 | - | Unknown |
| Kate Capital LLC CRD: 329897 | - | 0 | 1 | - | Unknown |
| Katersky Securities, Inc. CRD: 13284 | - | 0 | 0 | A | INACTIVE |
| Katherine Hannah, CPA, CFP CRD: 114985 | - | 0 | 0 | - | Unknown |
| Kathmandu Capital, LLC CRD: 325432 | - | 0 | 1 | - | Unknown |
| Kathmere Capital Management, LLC CRD: 305118 | - | 0 | 1 | - | Unknown |
| Katl Group, LLC CRD: 134223 | - | 1 | 0 | B | INACTIVE |
| Katonah Debt Advisors, L.L.C. CRD: 157868 | - | 0 | 0 | - | Unknown |
| Katsutoshi Capital Management, LLC CRD: 328356 | - | 0 | 1 | - | Unknown |
| Katto Financial LLC CRD: 141108 | - | 0 | 0 | - | Unknown |
| Katy Song Financial Planning, Inc. CRD: 158288 | - | 0 | 1 | - | Unknown |
| Katz Capital Advisors CRD: 334834 | - | 0 | 1 | - | Unknown |
| Katz Capital Management CRD: 127392 | - | 0 | 0 | - | Unknown |
| Katz Family Financial Advisors, LLC CRD: 133600 | - | 0 | 4 | - | Unknown |
| Katz Financial, LLC CRD: 144812 | - | 0 | 0 | - | Unknown |
| Katz, Robert JAY CRD: 34481 | - | 0 | 0 | A | INACTIVE |
| Katz, Robin Arthur CRD: 32975 | - | 0 | 0 | A | INACTIVE |
| Katz-Moses Financial LLC CRD: 304768 | - | 0 | 1 | - | Unknown |
| Kauffman & Drebing CRD: 117719 | - | 0 | 3 | - | Unknown |
| Kauffman Wealth Management CRD: 135595 | - | 0 | 0 | - | Unknown |
| Kaufman & Company, LLC CRD: 10924 | MA | 0 | 2 | A | Active |