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 |
|---|---|---|---|---|---|
| Kcpe Opportunities Management Limited CRD: 322126 | - | 0 | 0 | - | Unknown |
| KCPS Capital Management Ltd. CRD: 285893 | - | 0 | 0 | - | Unknown |
| KCPS PE Investment Management (2006) Ltd CRD: 163150 | - | 0 | 0 | - | Unknown |
| KCQF, LLC CRD: 318507 | - | 0 | 0 | - | Unknown |
| KCR Capital, LLC CRD: 298516 | CO | 0 | 2 | A | Active |
| KCR Wealth Management, LLC CRD: 170798 | - | 0 | 2 | - | Unknown |
| Kcrise Capital CRD: 305683 | - | 0 | 1 | - | Unknown |
| KCS Advisors, LLC CRD: 128005 | - | 0 | 3 | - | Unknown |
| KCS Wealth Advisory CRD: 169846 | - | 0 | 0 | - | Unknown |
| KD Capital Management, LLC CRD: 172110 | - | 0 | 1 | - | Unknown |
| KD Wealth Management CRD: 322347 | - | 0 | 0 | - | Unknown |
| KD Wealth Management LLC CRD: 309096 | - | 0 | 1 | - | Unknown |
| KDB Asset Management, LLC CRD: 129745 | - | 0 | 1 | - | Unknown |
| KDC Merger Arbitrage Master Fund, CV CRD: 39949 | - | 0 | 0 | A | INACTIVE |
| KDHB V Capital Management, LLC CRD: 307182 | - | 0 | 1 | - | Unknown |
| KDHH Investments LLC CRD: 110358 | - | 0 | 2 | - | Unknown |
| KDI Capital Partners, LLC CRD: 137092 | - | 0 | 0 | - | Unknown |
| KDI Financial Planning LLC CRD: 138633 | - | 0 | 0 | - | Unknown |
| KDK Private Wealth Management CRD: 299583 | - | 0 | 2 | - | Unknown |
| KDL Wealth Planning CRD: 312795 | - | 0 | 0 | - | Unknown |
| KDM Capital LLC CRD: 285763 | - | 0 | 0 | - | Unknown |
| KDM Wealth Management Inc. CRD: 152002 | - | 0 | 1 | - | Unknown |
| KDN Securities, Inc. CRD: 102960 | - | 0 | 0 | A | INACTIVE |
| KDP Asset Management, Inc. CRD: 110265 | - | 0 | 0 | - | Unknown |
| KDP Investment Advisors, Inc. CRD: 118346 | - | 0 | 0 | - | Unknown |
| KDS Partners LLC. CRD: 318819 | - | 0 | 0 | - | Unknown |
| KDT Advisors, LLC CRD: 289816 | - | 0 | 2 | - | Unknown |
| KDT Capital CRD: 332550 | - | 0 | 0 | - | Unknown |
| KDT Ventures CRD: 319012 | - | 0 | 1 | - | Unknown |
| Kdwallstreet Investment Advisor LLC CRD: 141204 | - | 0 | 1 | - | Unknown |
| KDX Management, LLC CRD: 328414 | - | 0 | 1 | - | Unknown |
| Keala Advisors CRD: 313752 | - | 0 | 0 | - | Unknown |
| Keane Capital Partners LLC CRD: 282796 | - | 0 | 0 | - | Unknown |
| Keane Securities Co., Inc. CRD: 8452 | - | 11 | 0 | D | INACTIVE |
| Kearney-Burch Financial Services, Inc. CRD: 135156 | - | 0 | 0 | - | Unknown |
| Kearney-Burch Financial Services, Inc. CRD: 304040 | - | 0 | 2 | - | Unknown |
| Kearns and Associates, LLC CRD: 157449 | - | 0 | 1 | - | Unknown |
| Kearny Capital II, LLC CRD: 168306 | - | 0 | 0 | - | Unknown |
| Kearny Capital III, LLC CRD: 285026 | - | 0 | 0 | - | Unknown |
| Kearny Jackson VC, LLC CRD: 329560 | - | 0 | 1 | - | Unknown |
| Kearny Jackson, LLC CRD: 297133 | - | 0 | 1 | - | Unknown |
| Kearny Venture Associates III, LLC CRD: 309872 | - | 0 | 1 | - | Unknown |
| Kearny Venture Associates IV, LLC CRD: 314960 | - | 0 | 0 | - | Unknown |
| Kearny Venture Associates V, LLC CRD: 326756 | - | 0 | 0 | - | Unknown |
| Kearny Venture Capital II, LLC CRD: 309542 | - | 0 | 0 | - | Unknown |
| Kearny Venture Partners CRD: 161652 | - | 0 | 0 | - | Unknown |
| Keating Financial Advisory Services CRD: 142772 | - | 0 | 20 | - | Unknown |
| Keating Investment Counselors Inc CRD: 110134 | - | 0 | 2 | - | Unknown |
| Keating Investment Management, LLC CRD: 129915 | - | 0 | 0 | - | Unknown |
| Keating Wealth Management, LLC CRD: 281406 | - | 0 | 0 | - | Unknown |