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 |
|---|---|---|---|---|---|
| Kaufman Advisory Services, Inc. CRD: 123013 | - | 0 | 0 | - | Unknown |
| Kaufman Bros., L.P. CRD: 37909 | - | 4 | 0 | C | INACTIVE |
| Kaufman Folberth Financial Group CRD: 16442 | - | 0 | 0 | A | INACTIVE |
| Kaufman Hall Investment Management CRD: 328876 | - | 0 | 1 | - | Unknown |
| Kaufman Investments Corporation CRD: 16992 | - | 0 | 0 | A | INACTIVE |
| Kaufman Kampe Advisors CRD: 144504 | - | 0 | 0 | - | Unknown |
| Kaufman Rossin Wealth, LLC CRD: 301921 | - | 0 | 3 | - | Unknown |
| Kaufmann, Alsberg & Co., Inc. CRD: 2404 | - | 0 | 0 | A | INACTIVE |
| Kaul Capital Management, LLC CRD: 328933 | - | 0 | 1 | - | Unknown |
| Kaul Financial Solutions CRD: 334875 | - | 0 | 2 | - | Unknown |
| Kaunisto Capital L.L.C. CRD: 333689 | - | 0 | 2 | - | Unknown |
| Kaupthing Securities, Inc. CRD: 104429 | - | 0 | 0 | A | INACTIVE |
| Kauzer Capital Management, LLC CRD: 335715 | - | 0 | 1 | - | Unknown |
| Kava Financial LLC CRD: 340289 | - | 0 | 1 | - | Unknown |
| Kavan Trading, L.L.C. CRD: 41694 | - | 0 | 0 | A | INACTIVE |
| Kavanaugh Securities, Inc. CRD: 10606 | - | 0 | 0 | A | INACTIVE |
| Kavar Capital Partners CRD: 311744 | - | 0 | 4 | - | Unknown |
| Kavar Capital Partners, LLC CRD: 155805 | - | 0 | 0 | - | Unknown |
| Kavi Asset Management, LP CRD: 174469 | - | 0 | 0 | - | Unknown |
| Kavod Capital Management LLC CRD: 298694 | - | 0 | 0 | - | Unknown |
| Kavout Algo Financial LLC CRD: 310424 | - | 0 | 1 | - | Unknown |
| Kavout Asset Management, LLC CRD: 284249 | - | 0 | 0 | - | Unknown |
| Kavout Securities, LLC CRD: 285976 | - | 0 | 0 | A | INACTIVE |
| Kawa Capital Management, Inc. CRD: 157780 | - | 0 | 1 | - | Unknown |
| Kawa Securities LLC CRD: 307917 | - | 0 | 0 | A | INACTIVE |
| Kawasaki Financial, LLC CRD: 173848 | - | 0 | 1 | - | Unknown |
| Kawg&f Financial Planning Group LLC CRD: 131318 | - | 0 | 1 | - | Unknown |
| KAY Investments, Inc. CRD: 124267 | - | 0 | 1 | - | Unknown |
| KAY Quinn Financial, LLC CRD: 123983 | - | 0 | 0 | - | Unknown |
| Kayak Capital Management Inc. CRD: 306023 | - | 0 | 0 | - | Unknown |
| Kayak Investment Partners LLC CRD: 166116 | - | 0 | 0 | - | Unknown |
| Kayan Securities, Inc. CRD: 156175 | CA | 1 | 3 | B | Active |
| Kaybank Capital LLC CRD: 299950 | - | 0 | 0 | - | Unknown |
| Kaydan Wealth Management, Inc. CRD: 108964 | - | 0 | 1 | - | Unknown |
| Kaye Capital Management CRD: 109329 | - | 0 | 0 | - | Unknown |
| Kaylin Dillon Financial Planning CRD: 313944 | - | 0 | 1 | - | Unknown |
| Kayne Anderson Capital Advisors, L.P. CRD: 104536 | - | 0 | 2 | - | Unknown |
| Kayne Anderson Fund Advisors, LLC CRD: 306062 | - | 0 | 0 | - | Unknown |
| Kayne Anderson Rudnick Investment Management, LLC CRD: 104599 | - | 0 | 25 | - | Unknown |
| Kayne, Anderson & Co., Inc. CRD: 14961 | - | 0 | 0 | A | INACTIVE |
| Kays Financial Advisory Corp CRD: 105873 | - | 0 | 0 | - | Unknown |
| Kaysi Gordon Financial Planning CRD: 317872 | - | 0 | 1 | - | Unknown |
| Kayyak Ventures SPA CRD: 331628 | - | 0 | 0 | - | Unknown |
| Kazazian Asset Management, LLC CRD: 328433 | - | 0 | 1 | - | Unknown |
| Kazimir Partners Limited CRD: 111523 | - | 0 | 0 | - | Unknown |
| KB & Partners Management Co LLC CRD: 108105 | - | 0 | 1 | - | Unknown |
| KB Asset Management Co., Ltd. CRD: 281567 | - | 0 | 0 | - | Unknown |
| KB Capital Management, LLC CRD: 281605 | - | 0 | 0 | - | Unknown |
| KB Financial Advisors LLC CRD: 134374 | - | 0 | 3 | - | Unknown |
| KB Financial Advisors, Inc. CRD: 121609 | - | 0 | 0 | - | Unknown |