Broker-Dealer Firms
27,152 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.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| A.G. ADVISORY FIRM, LLC CRD: 337222 | — | 0 | 0 | A | Unknown |
| A.G. BISSET ASSOCIATES, LLC CRD: 158945 | — | 0 | 0 | A | Unknown |
| A.G. CAMPBELL ADVISORY, LLC CRD: 162150 | — | 0 | 0 | A | Unknown |
| A.G. QUINTAL INVESTMENT COMPANY INC. CRD: 3115 | MA | 1 | 1 | F | Active |
| A.G.P. / ALLIANCE GLOBAL PARTNERS CRD: 8361 | CT | 21 | 1 | F | Active |
| A.I. SECURITIES CORPORATION CRD: 10696 | — | 0 | 0 | A | INACTIVE |
| A.I.M. FINANCIAL GROUP, INC. CRD: 134393 | — | 0 | 0 | A | Unknown |
| A.J. FRANK, CFP CRD: 112628 | — | 0 | 0 | A | Unknown |
| A.J. HAYDEN & CO. CRD: 15815 | — | 0 | 0 | A | INACTIVE |
| A.J. MICHAELS & CO., LTD. CRD: 19883 | — | 0 | 0 | A | INACTIVE |
| A.J. MULLIGAN & CO. CRD: 15490 | — | 0 | 0 | A | INACTIVE |
| A.J. PACE & CO., INC. CRD: 24228 | — | 1 | 0 | F | INACTIVE |
| A.L. HART FINANCIAL CRD: 326744 | — | 0 | 0 | A | Unknown |
| A.L. SARROFF, LLC CRD: 123768 | — | 0 | 0 | A | INACTIVE |
| A.L. WATERS CAPITAL, LLC CRD: 135419 | — | 2 | 0 | F | INACTIVE |
| A.M. BARBER, INC. CRD: 10803 | — | 0 | 0 | A | INACTIVE |
| A.M. FINANCIAL CRD: 269990 | — | 0 | 0 | A | Unknown |
| A.M. KRONFELD & CO., INC. CRD: 21043 | — | 0 | 0 | A | INACTIVE |
| A.M. LEVINE & CO., INC. CRD: 7453 | — | 0 | 0 | A | INACTIVE |
| A.M.C. ADVISORS, INC. CRD: 10727 | — | 0 | 0 | A | INACTIVE |
| A.O. JONES & CO. CRD: 13216 | — | 0 | 0 | A | INACTIVE |
| A.P. MOLLER CAPITAL P/S CRD: 335181 | — | 0 | 0 | A | Unknown |
| A.R.T. ADVISORS, LLC CRD: 161643 | — | 0 | 0 | A | Unknown |
| A.S.A. INVESTMENT COMPANY CRD: 10391 | — | 3 | 0 | F | INACTIVE |
| A.S.I., INC. CRD: 118952 | — | 0 | 0 | A | Unknown |
| A.T. GEKKO PR LLC CRD: 318114 | — | 0 | 0 | A | Unknown |
| A.T. GEKKO, LLC CRD: 317160 | — | 0 | 0 | A | Unknown |
| A.T. LLOYD'S, INC CRD: 148225 | — | 0 | 0 | A | Unknown |
| A.T. WHITEHEAD, INC. CRD: 108412 | — | 0 | 0 | A | Unknown |
| A.W. BERTSCH, INC. CRD: 32772 | — | 0 | 0 | A | INACTIVE |
| A.W. JONES CRD: 161260 | — | 0 | 0 | A | Unknown |
| A/Y DIGITAL ADVISERS LLC CRD: 318557 | — | 0 | 0 | A | Unknown |
| A1 MANAGEMENT CO. LLC CRD: 326677 | — | 0 | 0 | A | Unknown |
| A10 CAPITAL CRD: 163199 | — | 0 | 0 | A | Unknown |
| A100X CRD: 310578 | — | 0 | 0 | A | Unknown |
| A100X VENTURES CRD: 334339 | — | 0 | 0 | A | Unknown |
| A16Z PERENNIAL MANAGEMENT, L.P. CRD: 324429 | — | 0 | 0 | A | Unknown |
| A3 CAPITAL ADVISORS CRD: 338956 | — | 0 | 0 | A | Unknown |
| A3/C PARTNERS LLP CRD: 338882 | — | 0 | 0 | A | Unknown |
| A4 WEALTH ADVISORS LLC CRD: 152397 | — | 0 | 0 | A | Unknown |
| A5 FINANCIAL LLC CRD: 334313 | — | 0 | 0 | A | Unknown |
| A5 SECURITIES LLC CRD: 288410 | NY | 0 | 1 | A | Active |
| A7 MANAGEMENT CRD: 332576 | — | 0 | 0 | A | Unknown |
| AA FINANCIAL ADVISORS, LLC CRD: 119829 | — | 0 | 0 | A | Unknown |
| AA FINANCIAL SERVICES CRD: 157667 | — | 0 | 0 | A | Unknown |
| AAA ADVISORY LLC CRD: 336585 | — | 0 | 0 | A | Unknown |
| AAC BENELUX CRD: 167677 | — | 0 | 0 | A | Unknown |
| AAC CAPITAL PARTNERS CRD: 160854 | — | 0 | 0 | A | Unknown |
| AACP INVESTMENTS, LLC CRD: 314568 | — | 0 | 0 | A | Unknown |
| AAFMC LLC CRD: 287665 | — | 0 | 0 | A | Unknown |