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 |
|---|---|---|---|---|---|
| 325 Fillmore LLC CRD: 287625 | - | 0 | 1 | - | Unknown |
| 327 Capital Partners, LLC CRD: 313414 | - | 0 | 1 | - | Unknown |
| 33 Capital Management LLC CRD: 326780 | - | 0 | 1 | - | Unknown |
| 337 Frontier Capital, LP CRD: 284266 | - | 0 | 1 | - | Unknown |
| 34 Financial, LLC CRD: 329383 | - | 0 | 2 | - | Unknown |
| 342 Capital LLC CRD: 300538 | - | 0 | 0 | - | Unknown |
| 345 Investment Advisory, LLC CRD: 342120 | - | 0 | 3 | - | Unknown |
| 359 Capital LLC CRD: 340334 | - | 0 | 1 | - | Unknown |
| 36 North Capital Management, LLC CRD: 317557 | - | 0 | 1 | - | Unknown |
| 36 South Capital Advisors LLP CRD: 166406 | - | 0 | 0 | - | Unknown |
| 360 Advisory CRD: 287961 | - | 0 | 0 | - | Unknown |
| 360 Aviation Advisors, LLC CRD: 334641 | - | 0 | 1 | - | Unknown |
| 360 Business Management CRD: 330116 | - | 0 | 2 | - | Unknown |
| 360 Degrees Capital Management LLC CRD: 286162 | - | 0 | 1 | - | Unknown |
| 360 Family Office, LLC CRD: 164652 | - | 0 | 0 | - | Unknown |
| 360 Financial CRD: 168600 | - | 0 | 4 | - | Unknown |
| 360 Financial Partners, LLC CRD: 169280 | - | 0 | 1 | - | Unknown |
| 360 Financial Solutions, LLC CRD: 283484 | - | 0 | 0 | - | Unknown |
| 360 Investment Advisors CRD: 165663 | - | 0 | 0 | - | Unknown |
| 360 IRA CRD: 289783 | - | 0 | 2 | - | Unknown |
| 360 ONE Alternates Asset Management Limited CRD: 333515 | - | 0 | 0 | - | Unknown |
| 360 ONE Asset Management Limited CRD: 300914 | - | 0 | 0 | - | Unknown |
| 360 ONE Capital PTE Ltd CRD: 265789 | - | 0 | 0 | - | Unknown |
| 360 ONE Inc. CRD: 329291 | NY | 0 | 2 | A | Active |
| 360 ONE Portfolio Managers Limited CRD: 307146 | - | 0 | 0 | - | Unknown |
| 360 Venture Collective, LLC CRD: 316205 | - | 0 | 0 | - | Unknown |
| 360 Wealth Consultants, LLC CRD: 310154 | - | 0 | 1 | - | Unknown |
| 360 Wealth Creation CRD: 339237 | - | 0 | 1 | - | Unknown |
| 360 Wealth Management, Inc. CRD: 127589 | - | 0 | 0 | - | Unknown |
| 360Dividends CRD: 172101 | - | 0 | 1 | - | Unknown |
| 361 Capital LLC CRD: 118203 | - | 0 | 0 | - | Unknown |
| 361 Financial Planning, Inc. CRD: 283581 | - | 0 | 1 | - | Unknown |
| 361 Infrastructure Partners, LLC CRD: 298743 | - | 0 | 0 | - | Unknown |
| 364 Investing, LLC CRD: 326563 | - | 0 | 1 | - | Unknown |
| 365 Capital Advisors, LLC CRD: 175035 | - | 0 | 0 | - | Unknown |
| 365 Wealth Management Group CRD: 314674 | - | 0 | 1 | - | Unknown |
| 3650 Reit Investment Management LLC CRD: 286013 | - | 0 | 1 | - | Unknown |
| 369 Financial LLC CRD: 307530 | - | 0 | 1 | - | Unknown |
| 36ONE Asset Management (PTY) Limited CRD: 307510 | - | 0 | 0 | - | Unknown |
| 36ONE Asset Management (PTY) Ltd. CRD: 282823 | - | 0 | 0 | - | Unknown |
| 36ONE International IC Limited CRD: 331333 | - | 0 | 0 | - | Unknown |
| 37North Capital Management, LLC CRD: 318326 | - | 0 | 1 | - | Unknown |
| 37Spruce Investment Partners, LLC CRD: 340176 | - | 0 | 1 | - | Unknown |
| 38 Degree Advisors, LLC CRD: 168540 | - | 0 | 0 | A | INACTIVE |
| 38X Holdings Inc CRD: 321241 | - | 0 | 1 | - | Unknown |
| 395 Financial Planning CRD: 335271 | - | 0 | 1 | - | Unknown |
| 3:10 Capital Advisors II, LLC CRD: 304268 | - | 0 | 1 | - | Unknown |
| 3:23 Financial Services LLC CRD: 336102 | - | 0 | 0 | - | Unknown |
| 3a Financial Group, LLC CRD: 156512 | - | 0 | 1 | - | Unknown |
| 3a Partners, LLC CRD: 331371 | - | 0 | 0 | - | Unknown |